BF Regulation and Self-Regulation of Financial Markets in Switzerland
BF is the database of Swiss banking and financial services legislation, regulation and self-regulation. It is kept up to date as quickly as possible by the Centre for Banking and Financial Law.
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Status as of February 1, 2023.
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A-07-10
OS
Ordonnance sur la surveillance des entreprises d'assurance privées
1 Jan 2026 Federal Council
A-01-11
Oém-FINMA
Ordonnance réglant la perception d'émoluments et de taxes par l'Autorité fédérale de surveillance des marchés financiers
1 Jan 2024 Federal Council
A-23-01
LPP
Loi fédérale sur la prévoyance professionnelle vieillesse, survivants et invalidité
1 Jan 2024
A-23-11
OPP 2
Ordonnance sur la prévoyance professionnelle vieillesse, survivants et invalidité
1 Jan 2024 Federal Council
A-23-12
OPP 3
Ordonnance sur les déductions admises fiscalement pour les cotisations versées à des formes reconnues de prévoyance
1 Jan 2024 Federal Council
A-23-13
OLP
Ordonnance sur le libre passage dans la prévoyance professionnelle vieillesse, survivants et invalidité
1 Jan 2024 Federal Council
A-36-01
OGPCT
Ordonnance sur la gestion du patrimoine dans le cadre d'une curatelle ou d'une tutelle
1 Jan 2024 Federal Council
B-13-03
FINMA Circ. 13/3
Circular 2013/3: Auditing
1 Jan 2024 FINMA
B-23-01
FINMA Circ. 23/1
Circular 2023/1 : Managing Operational Risks and Ensuring Operational Resilience
1 Jan 2024 FINMA
C-09-19
D-03/2014
Directives D-03/2014 : Reconnaissance de directives techniques de la CSEP comme standard minimal
31 Dec 2023 Occupational Pension Supervisory Commission
A-08-12
OD-ASR
Ordonnance de l'Autorité fédérale de surveillance en matière de révision sur l'accès électronique aux données non accessibles au public
New act as of 1 Nov 2023 Federal Audit Oversight Authority
B-01-06
Règlement d'organisation de la direction et des divisions subordonnées de l'Autorité fédérale de surveillance des marchés financiers FINMA
New act as of 1 Nov 2023 FINMA
D-07-80
Self-regulation on Transparency and Disclosure for Sustainability-related Collective Assets
New act as of 1 Nov 2023 Asset Management Association Switzerland
B-04-38
FINMA Guidance 06/2023
FINMA Guidance 06/2023 : Implementation of the "Prudent Person" Principle and Relief for Business with Professional Policyholders
New act as of 31 Oct 2023 FINMA
D-07-85
Swiss Stewardship Code
New act as of 4 Oct 2023 Asset Management Association Switzerland, Swiss Sustainable Finance
D-01-22
Guidelines for the Financial Service Providers on the Integration of ESG-Preferences and ESG-Risks into Investment Advice and Portfolio Management
New act as of 1 Oct 2023 Swiss Bankers Association (SBA)
C-03-11
Instruction Sheet on SNB COVID-19 Refinancing Facility (CRF)
New act as of 27 Sep 2023 Swiss National Bank
A-23-01
LPP
Loi fédérale sur la prévoyance professionnelle vieillesse, survivants et invalidité
New act as of 26 Sep 2023
D-55-02
Affiliation
New act as of 16 Sep 2023 Financial Services Ombudsman
A-09-01
Ordonnance sur les prêts d'aide supplémentaires sous forme de liquidités et l'octroi par la Confédération de garanties du risque de défaillance pour les prêts d'aide sous forme de liquidités de la Banque nationale suisse à des banques d'importance systémique
New act as of 15 Sep 2023 Federal Council
A-01-01
FINMASA
Federal Act on the Swiss Financial Market Supervisory Authority
New act as of 1 Sep 2023
A-01-13
Ordonnance de la FINMA sur le traitement des données personnelles dans le cadre de la surveillance
New act as of 1 Sep 2023 FINMA
A-02-01
NBA
Federal Act on the Swiss National Bank
New act as of 1 Sep 2023
A-07-01
LCA
Loi fédérale sur le contrat d'assurance
New act as of 1 Sep 2023
A-08-01
AOA
Federal Act on the Licensing and Oversight of Auditors
New act as of 1 Sep 2023
A-25-01
LCC
Loi fédérale sur le crédit à la consommation
New act as of 1 Sep 2023
A-31-01
AMLA
Federal Act on Combating Money Laundering and Terrorist Financing
New act as of 1 Sep 2023
A-31-11
OBCBA
Ordonnance sur le Bureau de communication en matière de blanchiment d'argent
New act as of 1 Sep 2023 Federal Council
A-34-01
FADP
Federal Act on Data Protection
New act as of 1 Sep 2023
A-34-10
DPO
Ordinance on Data Protection
New act as of 1 Sep 2023 Federal Council
A-35-10
TAAA
Federal Act on International Administrative Assistance in Tax Matters
New act as of 1 Sep 2023
A-35-40
AEOIA
Federal Act on the International Automatic Exchange of Information in Tax Matters
New act as of 1 Sep 2023
D-01-03
Allocation Directives for the New Issues Market
New act as of 1 Sep 2023 Swiss Bankers Association (SBA)
B-04-37
FINMA Guidance 05/2023
FINMA Guidance 05/2023 : Money Laundering Risk Analysis Pursuant to Article 25 para. 2 AMLO-FINMA
New act as of 24 Aug 2023 FINMA
B-04-36
FINMA Guidance 04/2023
FINMA Guidance 04/2023 : Action Plan for Insurance Intermediaries
New act as of 21 Aug 2023 FINMA
B-04-35
FINMA Guidance 03/2023
FINMA Guidance 03/2023 : Status of the Licensing Process for and Supervision of Portfolio Managers and Trustees
New act as of 18 Aug 2023 FINMA
D-55-01
Commercial Mediation
New act as of 4 Aug 2023 Financial Services Ombudsman
A-32-01
EmbA
Federal Act on the Implementation of International Sanctions
New act as of 1 Jul 2023
C-24-01
Aufsichtskonzept zur laufenden Aufsicht über Vermögensverwalter nach Art. 17 Abs. 1 FINIG und Trustees nach Art. 17 Abs. 2 FINIG sowie über Prüfgesellschaften und leitende Prüfer
New act as of 1 Jul 2023 FINcontrol Suisse Ltd
C-25-02
Demande d'affiliation à l'Organisme de surveillance selon la loi fédérale sur les établissements financiers et la loi fédérale sur la surveillance des marchés financiers ou à l'Organisme d'autorégulation selon la loi sur le blanchiment d'argent
New act as of 20 Jun 2023 AOOS Société anonyme suisse de surveillance
D-02-06
Risks Involved in Trading Financial Instruments
New act as of 1 Jun 2023 Swiss Bankers Association (SBA)
B-05-03
Guidelines for FinTech Licence Applications Pursuant to Article 1b of the Banking Act
New act as of 5 May 2023 FINMA
A-25-12
Ordonnance du DFJP sur le taux d'intérêt maximal pour les crédits à la consommation
New act as of 1 May 2023 Federal Department of Justice and Police
D-31-01
Self-regulation Rules of the ARIF
New act as of 25 Apr 2023 Association romande des intermédiaires financiers
D-31-02
ARIF Directives 2 to 13
New act as of 25 Apr 2023 Association romande des intermédiaires financiers
D-31-14
Directive 14: Code of Deontology Concerning the Exercise of the Profession of Independent Asset Manager
Repealed as of 25 Apr 2023 Association romande des intermédiaires financiers
D-77-04
Recommandations professionnelles relatives à la gestion de placements collectifs dans le cadre des seuils « de Minimis »
New act as of 25 Apr 2023 Swiss Association of Asset Managers
B-01-01
Regulations on the Organisation of the Swiss Financial Market Supervisory Authority FINMA
New act as of 1 Apr 2023 FINMA
B-01-02
Code de conduite de l'Autorité fédérale de surveillance des marchés financiers
New act as of 1 Apr 2023 FINMA
C-61-03
List of Generally Recognised Accounting Standards
New act as of 1 Apr 2023 SIX Exchange Regulation Ltd
C-62-03
Directive Exemptions from the Duty to Review for Prospectuses/Supplements / Accepted Accounting Standards
New act as of 1 Apr 2023 BX Swiss Ltd
D-33-01
RAR
Règlement d'autorégulation OAR/ASSL
New act as of 1 Apr 2023 Selfregulation Organisation of the Association suisse des sociétés de leasing
D-37-01
Règlement de l'Organisme d'autoréglementation de la Fédération suisse des avocats et de la Fédération suisse des notaires
New act as of 1 Apr 2023 Organisme d’autoréglementation de la Fédération suisse des avocats et de la Fédération suisse des notaires
D-41-01
Regulations of the Self-Regulatory Organisation Pursuant to the Anti-Money Laundering Act VQF with Regard to the Combating of Money Laundering and Financing of Terrorism
New act as of 1 Apr 2023 Financial Services Standards Association
A-03-41
LCaS-COVID-19
Loi fédérale sur les crédits garantis par un cautionnement solidaire à la suite du coronavirus
New act as of 31 Mar 2023
A-09-01a
Rapport explicatif
New act as of 19 Mar 2023 Federal Department of Finance
B-15-02
Circ.-FINMA 15/2
Circulaire 2015/2 : Exigences qualitatives en matière de gestion du risque de liquidité et exigences quantitatives en matière de détention des liquidités
New act as of 8 Mar 2023 FINMA
D-39-01
Règlement de l'OAR PolyReg selon l'art. 25 LBA
New act as of 1 Mar 2023 PolyReg General Self-Regulatory Organisation
D-09-01
Swiss Code of Best Practice for Corporate Governance
New act as of 6 Feb 2023 economiesuisse
A-05-20
FinMIO-FINMA
Ordinance of the Swiss Financial Market Supervisory Authority on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading
New act as of 1 Feb 2023 FINMA
B-04-34
FINMA Guidance 02/2023
FINMA Guidance 02/2023 : Status of the Licensing Process for Portfolio Managers and Trustees
New act as of 30 Jan 2023 FINMA
B-04-33
FINMA Guidance 01/2023
FINMA Guidance 01/2023 : Developments with Regard to the Management of Climate Risks
New act as of 24 Jan 2023 FINMA
A-03-10
BO
Ordinance on Banks and Savings Banks
New act as of 23 Jan 2023 Federal Council
A-04-10
FinIO
Ordinance on Financial Institutions
New act as of 23 Jan 2023 Federal Council
A-07-10
OS
Ordonnance sur la surveillance des entreprises d'assurance privées
New act as of 23 Jan 2023 Federal Council
A-23-10
OPP 1
Ordonnance sur la surveillance dans la prévoyance professionnelle
New act as of 23 Jan 2023 Federal Council
A-01-11
Oém-FINMA
Ordonnance réglant la perception d'émoluments et de taxes par l'Autorité fédérale de surveillance des marchés financiers
New act as of 1 Jan 2023 Federal Council
A-03-01
LB
Loi fédérale sur les banques et les caisses d'épargne
New act as of 1 Jan 2023
A-03-11
CAO
Ordinance on the Capital Adequacy and Risk Diversification of Banks and Securities Firms
New act as of 1 Jan 2023 Federal Council
A-03-12
LiqO
Ordinance on the Liquidity of Banks and Securities Firms
New act as of 1 Jan 2023 Federal Council
A-05-01
FinMIA
Federal Act on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading
New act as of 1 Jan 2023
A-05-10
FinMIO
Ordinance on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading
New act as of 1 Jan 2023 Federal Council
A-07-02
LSA
Loi fédérale sur la surveillance des entreprises d'assurance
New act as of 1 Jan 2023
A-08-10
AOO
Ordinance on the Licensing and Oversight of Auditors
New act as of 1 Jan 2023 Federal Council
A-22-01
CISA
Federal Act on Collective Investment Schemes
New act as of 1 Jan 2023
A-23-11
OPP 2
Ordonnance sur la prévoyance professionnelle vieillesse, survivants et invalidité
New act as of 1 Jan 2023 Federal Council
A-24-01
LLG
Loi sur l'émission de lettres de gage
New act as of 1 Jan 2023
A-24-10
OLG
Ordonnance sur l'émission de lettres de gage
New act as of 1 Jan 2023 Federal Council
A-26-01
FISA
Federal Act on Intermediated Securities
New act as of 1 Jan 2023
A-31-10
OBA
Ordonnance sur la lutte contre le blanchiment d'argent et le financement du terrorisme
New act as of 1 Jan 2023 Federal Council
A-31-20
OBA-FINMA
Ordonnance de l'Autorité fédérale de surveillance des marchés financiers sur la lutte contre le blanchiment d'argent et le financement du terrorisme dans le secteur financier
New act as of 1 Jan 2023 FINMA
A-31-30
OBA-CFMJ
Ordonnance de la Commission fédérale des maisons de jeu concernant les obligations de diligence des maisons de jeu en matière de lutte contre le blanchiment d'argent et le financement du terrorisme
New act as of 1 Jan 2023 Commission fédérale des maisons de jeu
A-31-40
OBA-OFDF
Ordonnance de l'OFDF sur la lutte contre le blanchiment d'argent et le financement du terrorisme dans le négoce des métaux précieux bancaires
New act as of 1 Jan 2023 Federal Office for Customs and Border Security
C-03-05
Regulations on Private Financial Investments and Financial Transactions by Members of SNB Management
New act as of 1 Jan 2023 Swiss National Bank
C-09-10
D-01/2012
Directives D-01/2012 : Agrément des experts en prévoyance professionnelle
New act as of 1 Jan 2023 Occupational Pension Supervisory Commission
C-25-01
Règlement de l'Organisme de Surveillance (OS) selon la loi fédérale sur les établissements financiers (LEFin) et la loi fédérale sur l'Autorité de surveillance des marchés financiers (LFINMA)
New act as of 1 Jan 2023 AOOS Société anonyme suisse de surveillance
D-01-23
Guidelines for Mortgage Providers on the Promotion of Energy Efficiency
New act as of 1 Jan 2023 Swiss Bankers Association (SBA)
D-03-01
Agreement on Self-regulation for the Deposit Insurance Scheme
New act as of 1 Jan 2023 esisuisse
D-32-01
Règlement de l'organisme d'autorégulation selon la loi sur le blanchiment d'argent (LBA)
New act as of 1 Jan 2023 AOOS Société anonyme suisse de surveillance
D-35-01
R OAR-ASA
Règlement de l'organisme d'autorégulation de l'Association suisse d'assurances pour la lutte contre le blanchiment d'argent et le financement du terrorisme
New act as of 1 Jan 2023 Self-Regulatory Organisation of the Swiss Insurance Association
D-58-01
Verfahrensreglement der Unabhängigen Ombudsstelle Schweiz AG
Repealed as of 31 Dec 2022 Organe de médiation indépendant suisse SA
D-58-02
Anschlussreglement der Unabhängigen Ombudsstelle Schweiz AG
Repealed as of 31 Dec 2022 Organe de médiation indépendant suisse SA
A-08-11
OO-FAOA
Ordinance of the Federal Audit Oversight Authority on the Oversight of Audit Firms
New act as of 15 Dec 2022 Federal Audit Oversight Authority
D-71-02
Directives sur l'indépendance
New act as of 15 Dec 2022 ExpertSuisse
B-08-21
FINMA Circ. 08/21
Circular 2008/21: Capital Adequacy Requirements and Qualitative Requirements for Operational Risks at Banks
New act as of 1 Jan 2020 FINMA
D-01-07
Recommendations for Business Continuity Management (BCM)
New act as of 1 Oct 2013 Swiss Bankers Association (SBA)
A-36-01
OGPCT
Ordonnance sur la gestion du patrimoine dans le cadre d'une curatelle ou d'une tutelle