Unplex includes built-in support for the regulatory obligations that shape day-to-day work for regulated firms in Switzerland: GwG (anti-money laundering), BGFA (attorney conduct rules), FIDLEG/FINIG (financial services and institutions), and FINMA circulars. The relevant checks and logic are built into the workflow itself, rather than added as a separate step.

GwG: anti-money laundering checklists and documentation, generated as part of client onboarding and periodic review workflows.

BGFA: conduct and conflict-of-interest checks for lawyers and notaries, including Zefix-based conflict screening.

FIDLEG / FINIG: suitability and appropriateness documentation for wealth managers, kept current as client and mandate data changes (see Keeping Suitability and Investment Profiles Up to Date Automatically).

FINMA circulars: regulatory updates reflected in workflow logic as guidance changes.

Checklists — GwG client due diligence, FINMA circular-specific requirements, risk classification review cadence — are configured as workflow templates. Each checklist item maps to a specific data point or document that must exist or be verified in the firm's ERP.

Unplex checks the current state of each item automatically where the underlying data is available — for example, confirming a current KYC document is on file, or that a risk classification has been reviewed within the required interval. Items that cannot be verified automatically are flagged for manual confirmation by the responsible team member. A completed checklist is stored as a logged record tied to the client or mandate, ready to produce for a regulator or internal audit.

Checklist items and review cadence can be customized by the firm's compliance team to match internal policy beyond the regulatory minimum; changes are made together with the Unplex account team to ensure correct mapping to the firm's ERP data structure.

Compliance checks — including checklists — run as steps inside a Workflow, alongside the substantive work. For example, a client onboarding workflow can include a GwG checklist step before the matter is fully opened, with a human approval point before finalization (see How Unplex Works: Assistants, Agents, and Workflows).

Every compliance step Unplex performs, including checklist items, is logged alongside the rest of the workflow's audit trail; there is no separate compliance log to reconcile. This is designed to meet GwG, FINMA, and BGFA documentation requirements.

This article covers compliance logic built into ongoing workflows. For after-the-fact verification of existing AML, restriction, and KYC documentation across the book, see How to Verify Citations & Compliance with Unplex. For analysis of how a new FINMA circular affects existing mandates, see How to Research with Sources (Section on Regulatory Document Impact Analysis).

Regulatory updates are rolled out to the compliance module centrally. A jurisdiction-specific requirement not yet covered can be raised with the Unplex account team — the module is built to be extended per customer.