Financial Institutions

Regulatory & Compliance

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Please find all relevant compliance related documents for Raiffeisen Switzerland, like US Patriot Act Appendix A, Anti-Money-Laundering Affidavit and the List of Authorized Banks in Switzerland in accordance with the FINMA (Swiss Financial Market Supervisory Authority) below.

Authorised banks and securities dealers (PDF, 182.6KB)
Certification regarding correspondent accounts for foreign banks (PDF, 231.7KB)
Anti-money laundering questionnaire (PDF, 288.6KB)

FATCA

Raiffeisen Switzerland Cooperative decided to register under the Foreign Account Tax Compliance Act (FATCA).

 

The following Details do apply:

  • Address: Raiffeisenplatz 4, CH-9001 St. Gallen, Switzerland
  • Reporting Model 2FFI - no branch entity
  • GIIN (Global Intermediary Identification Number): NS3JEB.00000.LE.756

W-8BEN-E  (PDF, 786KB)
 

Automatic Exchange of Information (AEOI)

In accordance with the Swiss legislation, implementing the OECD Common Reporting Standard (CRS), including the Swiss AEOI Act and the AEOI Agreements between Switzerland and its partner jurisdictions, Raiffeisen Switzerland Cooperative declares and confirms the below certifications:

Confirmation of Residence for Tax Purposes and AEOI/CRS Status (PDF, 431KB)

 

MiFID II/MiFIR and EMIR

1. Legal Entity Identifier (LEI):

5299006GIHQ1ELISCV48

 

2. Classification according to MiFID II/MiFIR and EMIR:

  • Being established in Switzerland, Raiffeisen Switzerland Cooperative (RCH) is classified as a third country entity under MiFID II/MiFIR.
  • RCH is an eligible counterparty under MiFID II/MiFIR.
  • Under EMIR RCH is, 
    - in respect of the counterparty classification
      - a third country entity
      - a financial counterparty
    - in respect of the clearing categorization
      - a category 1 entity in respect of OTC derivative contracts
        (interest rate products) that are subject to RTS 
      - not an alternative investment fund

CTFC
In respect of the «Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations» RCH

  • is not a U.S. person
  • is not an affiliate conduit
  • has no U.S. person guarantees

 

3. FINFRAG:

  • In Switzerland, RCH is subject to FINFRAG.
  • Under FINFRAG, RCH is classified as Financial Counterparty above the threshold (FC+).

 

4. Execution of orders:

RCH consents to the execution of orders outside of a trading venue.

 

5. Limit orders:

RCH consents to the non-publication of limit orders in shares that cannot be immediately executed.

 

6. Provision of information:

RCH consents to the provision of information by e-mail or through a website or portal.

 

7. Research:

The MiFID II rules on investment research and financial analysis do not apply to RCH.