ASMA Asset Management Audit & Compliance SA

What ASMA Asset Management Audit & Compliance SA does

ASMA Asset Management Audit & Compliance SA is a privately held Swiss professional services firm founded in 2011 by Samuel Bardi and Glen Millar, specializing in audit, compliance, and risk management for the asset management industry. The firm is headquartered in Geneva and operates offices in Zurich and Lugano, serving more than 300 clients since inception, the majority of which are regulated by FINMA. Its client base spans asset managers, banks, securities dealers, brokers, fund managers, family offices, SRO members, and FinTech companies.

The firm's offering is structured around six core service lines: prudential audit (regulatory audits for FINMA-supervised entities and FinTech licensing under Art. 1b BankG), financial/ordinary audit, outsourced compliance and risk control (including an IT tool available as SaaS in Switzerland or on clients' own platforms that links risk analysis with planned controls), internal audit (to FINMA and IIAS standards), supervisory organization audit (accredited for AOOS, SO-FIT, OSIF/ARIF, and OSFINcontrol), and consulting services for regulatory projects, restructuring, and license applications. The team of 13 comprises FAOA-accredited expert auditors with prior experience at Big Four firms (EY, PwC, Arthur Andersen, BDO), UBS, Kroll/Kinetic Partners, and FINMA-approved risk roles.

ASMA is registered with the Federal Audit Oversight Authority (RAB reference 504792) as a state-supervised audit company under ISQM-CH quality standards, and is a member of EXPERTSuisse, the Institute of Internal Auditing Switzerland (IIAS), and the Asset Management Association Switzerland. The firm is privately held with no disclosed external funding, operates entirely within Switzerland, and generates revenue through fee-for-service engagements billed per mandate rather than disclosed fixed pricing.

Name

ASMA Asset Management Audit & Compliance SA

Legal name

ASMA Asset Management Audit & Compliance SA

Website

https://amaudit.ch

Company type

Private

Founded year

2011

Operating status

Operating

Headcount range

11–50 employees

Short description

ASMA Asset Management Audit & Compliance SA is a Swiss FAOA-accredited professional services firm founded in 2011 that provides audit, outsourced compliance, risk control, and regulatory consulting to FINMA-regulated asset managers, banks, FinTechs, and SRO members across Geneva, Zurich, and Lugano.

Ownership category

akta.pro rank

Product category

Financial Audit and Compliance Services

NAICS

Offices of Certified Public Accountants (541211)

SIC

Services-Management Services (8741)

akta.pro primary industry

Audit & Assurance Services (BPAHABAA)

Keywords

• Prudential audit services
• Compliance advisory
• Risk management consulting
• Internal audit
• Regulatory consulting

Headquarters

HQ city

Geneva

HQ country

Switzerland

HQ region

Europe

Offices3 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D

Revenue model

1. Professional Services Revenue: ASMA generates revenue through providing professional services including prudential audits, financial audits, outsourced compliance and risk control, internal audit, supervisory organisation audits, and consulting services. Services are tailored to each client and provided by qualified staff on call.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels4 records

Core offering

ASMA is a Swiss professional services firm specialising in audit, compliance and risk management services for FINMA-regulated asset managers in banking, broking, fund, wealth management and FinTech sectors. The firm delivers prudential audits, financial/ordinary audits, outsourced compliance and risk control functions, internal audits, supervisory organisation audits, and regulatory consulting, supported by an in-house IT tool for continuous risk analysis.

Product overview

ASMA Asset Management Audit & Compliance SA is a professional services firm offering an integrated suite of audit, compliance, and risk management services for asset managers in banking, broking, fund, wealth management, and FinTech sectors. The core service portfolio consists of six interconnected offerings: Prudential Audit (regulatory audits for FINMA-supervised entities), Financial/Ordinary Audit (statutory financial statement audits), Outsourced Compliance and Risk Control Services (including an IT tool for continuous risk analysis), Internal Audit (for FINMA-regulated entities), Supervisory Organisation (SRO) Audit (accredited for multiple Swiss supervisory bodies), and Consulting Services (regulatory advisory and project support). Founded in 2011 and serving over 300 clients, ASMA operates offices in Geneva, Zurich, and Lugano.

Differentiator

Problem solved

Functional benefit

Products and services

• Prudential Audit Regulatory/prudential audit services for FINMA-regulated entities including collective and individual asset managers, FinTech companies and FINMA authorisation application audits. Audit reports are submitted to the board of directors, FINMA and supervisory organisations.
• Financial Audit (Ordinary Audit)
• Outsourced Compliance and Risk Control Services Outsourcing of compliance and risk control functions, provision of compliance and risk analyses, controls, reports and assessments, employee awareness training, FINMA/SO enquiries preparation, and advisory on AML and SRO membership. Includes an IT tool operated as SaaS in Switzerland or on clients' own platform for continuous collaboration linking risk analysis with planned controls.
• Internal Audit Internal audit services for FINMA-regulated entities, including multi-annual audit plan development, internal control assessment, compliance evaluation and audit committee support. Conducted per FINMA requirements and IIAS standards.
• Supervisory Organisation (SRO) Audit Accredited audit services for members of Swiss supervisory organisations including AOOS, SO-FIT, OSIF/ARIF and OSFINcontrol.
• Consulting Services Advisory services including specialist advisory for restructuring projects, implementation support for organisational/regulatory changes, regulatory applicability assessment, regulatory body application preparation, and project management for one-off projects or staff absences.

Quantifiable outcome

• Served 300+ clients since 2011, most FINMA-regulated

Segments5 records

Ideal customer profiles4 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature1 record

Partnerships

One partnership is on record.

• International PartnerssupportingOthersASMA collaborates with international partners to support companies in the event of changes to international regulations, such as in the USA (FCA, SEC applications and projects). These partnerships enable ASMA to provide cross-border regulatory consulting services.

Scale indicators3 records

Recent moves8 records

Expansion highlights4 records

Direct peers

• BDO Switzerland: BDO Switzerland is a mid-tier professional services firm offering audit, tax, and advisory services to financial institutions including asset managers in Switzerland. It competes directly with ASMA in the regulated audit and compliance space, though at significantly larger scale and broader service breadth.
• Grant Thornton Switzerland: Grant Thornton Switzerland is a mid-tier audit and advisory firm serving private and listed companies, including financial services clients. It competes with ASMA for regulatory and statutory audit mandates among Swiss asset managers and financial intermediaries.
• Mazars Switzerland: Mazars Switzerland provides audit, accounting, tax, and advisory services to financial services clients, including regulated asset managers. It is a comparable international mid-tier peer with similar positioning to ASMA in the Swiss audit market.
• RSM Switzerland: RSM Switzerland is part of the global RSM network offering audit, tax, and consulting to mid-market companies including financial services firms. It is a comparable mid-tier peer for ASMA's asset management and financial intermediary audit work.
• Baker Tilly Switzerland: Baker Tilly Switzerland is a mid-tier audit and advisory firm with financial services expertise in the Swiss market. It is a comparable peer for ASMA's audit and compliance work with asset managers and regulated entities.
• OBT AG: OBT AG is a Swiss mid-tier audit, tax, and consulting firm with a strong financial services practice. It competes with ASMA in providing statutory and regulatory audit services to regulated Swiss financial institutions.

Broad incumbents

• EY Switzerland: EY Switzerland's Financial Services Organisation serves Swiss banks, asset managers, and insurers with audit and advisory services. It is a broad incumbent competitor to ASMA, particularly for larger mandates where Big Four scale and global network are valued.
• Deloitte Switzerland: Deloitte Switzerland's Financial Services Industry practice covers audit, risk, and regulatory advisory for banks, asset managers, and FinTechs. It is a broad incumbent competitor to ASMA in the Swiss regulated financial services market.
• PwC Switzerland: PwC Switzerland operates one of the largest financial services audit and advisory practices in the country, including asset management and FinTech clients. It is a broad incumbent competitor that ASMA regularly competes against for high-end mandates.
• KPMG Switzerland: KPMG Switzerland is one of the Big Four audit firms with a substantial financial services practice including a dedicated asset management sector team. It is a broad incumbent competitor for both ASMA's audit mandates and outsourced compliance work, with materially greater resources and international reach.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat3 records

Key risks6 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/asma-switzerland

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles13 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about ASMA Asset Management Audit & Compliance SA