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Financial customers

Since the Financial Services Act (FinSA) came into force on 1 January 2020, you, as a customer of a financial services provider, can now take advantage of an ombudsman procedure. For this purpose, financial service providers must join an official ombudsman service. These ombudsman offices must be recognised by the Federal Department of Finance (FDF). The Association of Financial Services providers (OFD) was granted approval in January 2020.
By answering the following questions, we will guide you through the inquiry process. In this way we ensure that only justified inquiries are forwarded to the ombudsman in the correct form:

Anfrage - EN

Question 1

Is your client advisor affiliated with the Verein Ombudsstelle Finanzdienstleister (OFD)? See: List of financial service providers
Please clarify with your financial service provider at which ombuds office he is accredited!
Then contact this ombudsman's office.

Question 2

Can you claim specific damages?
The ombudsman can only deal with complaints if the customer can justify a damage or disadvantage.
So if, for example, you feel you have been treated inappropriately or unkindly, please contact the management of the financial services provider in writing.

Question 3

Have you submitted a written complaint to your financial services provider and received a reply?
First address your complaint to your financial services provider and ask him to provide you with a written reply.
If this is unsatisfactory, you can contact the ombudsman

Question 4

Is an authority already active in your case?
If an authority is already active (e.g. court, administration, debt collection office), the ombudsman can usually no longer intervene.

Question 5

Present the facts of the case, the problem, your accusations in a letter that is understandable.

Make copies of the important documents (contract documents, correspondence with the financial services provider, receipts, etc.) Please do not enclose any originals!

Write down your claims against the financial service provider.What do you want to achieve? On what reason? What is the basis for calculating your loss?

Did you compile the documents?
Please copy the necessary documents and answer the questions in our authorization form.

Closing

In order to be able to take action, we need your written consent that your financial service provider may provide information to the ombudsman. Please fill out the authorization form and send it to us together with the other documents. Do you have any further questions? We will be happy to provide you with information by telephone.
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Shipping

Shipping by mail to:
Verein Ombudsstelle Finanzdienstleister (OFD):
Bleicherweg 10
CH-8002 Zürich

Closing 2


Shipping by online form:
Before you send the dossier by form, please scan all the above relevant documents first and only then upload them here.
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Maximum file size: 67.11MB

Further information
The majority of customers first seek advice on the phone. Most of these requests can be handled directly. A factual situation or an incomprehensible procedure is explained. For more difficult cases, the customer should submit his dossier. In most cases, the ombudsman asks the financial services provider for a supplementary opinion in order to be able to form as comprehensive and objective a judgement as possible.
In order to arrive at a proposed solution, the ombudsman can do everything he deems necessary to freely form his own opinion. To this end, he may also obtain files and information from the financial services provider responsible.

Restrictions
The ombudsman cannot influence financial service providers in matters of business and tariff policy. For example, he is not allowed to object to a fee tariff for services.
It may also happen that a particular case is not suitable for ombudsman proceedings and the ombudsman will ask the customer to take the matter directly to the ordinary courts.
In addition, the ombudsman declares himself not to be competent for abstract legal and economic issues and does not prepare expert opinions.

Periods/Limitation
The ombudsman procedure usually takes one to two months. Simpler cases can also be dealt with within a shorter period. With increasing complexity, a procedure may take longer.
The customer’s intervention with the ombudsman does not interrupt the course of the normal legal periods (statute of limitations, etc.).

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