§ 01
Governance
Risk governance frameworks, policy stack, three-lines-of-defence design, board & risk-committee reporting.
Independent advisory · Switzerland
Governance, Risk & Regulatory Compliance — built for medium-sized Swiss financial institutions.
Swisstocks is an independent Swiss-based consultancy boutique. We help medium-sized Swiss financial institutions — banks, fund managers, asset managers and investment boutiques — strengthen their risk management frameworks and capabilities, remediate audit findings and stay ahead of FINMA and international regulation — with the delivery discipline of a Tier 1 institution and the responsiveness of a single-partner practice.
Services
Full service catalogue →§ 02
Credit & Counterparty Risk
Single-name and global counterparty exposure methodologies, limit calibration, model validation and remediation.
§ 03
Liquidity & Treasury Risk
LCR/NSFR steering, stress-testing frameworks, crisis reporting, contingency funding plans and Front-Office advisory.
§ 04
Regulatory Compliance
FINMA circulars, CAO/LiqO, ESG disclosures, sanctions, AML and fraud-prevention control frameworks.
§ 05
Audit Remediation
Identification, structuring and closure of internal and external audit findings on risk and compliance topics.
§ 06
Climate & ESG Risk
Financed emissions, Net-Zero methodologies, sector trajectories, climate-related regulatory reporting.
Positioning
Why medium-sized Swiss financial institutions work with Swisstocks.
Tier 1 methods, delivered by a single senior consultant. No pyramids, no handover risk, no billed juniors — the person who scopes the work is the person who ships it.
- Big-institution rigor
- Frameworks calibrated at UBS / Credit Suisse, sized for a mid-cap institution's reality.
- Regulator-fluent
- FINMA circulars, CAO, LiqO, ORO, ESG guidance — read, mapped, remediated.
- Findings-ready
- Structured closure of internal-audit and regulator findings, with defensible evidence.
- Discreet & senior
- One point of contact. NDAs signed on day one. No sub-contracting.
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