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A Legislation

A-00 Supervisory Authorities and Supervised Entities

A-00 Supervisory Authorities and Supervised Entities

A-01 FINMA

A-01-01 LFINMA Loi sur l'Autorité fédérale de surveillance des marchés financiers
Status as of 1 Mar 2024
A-01-05 Ordonnance relative à la loi sur la surveillance des marchés financiers
Status as of 1 Feb 2020 Federal Council
A-01-10 Ordonnance sur le personnel de l'Autorité fédérale de surveillance des marchés financiers
Status as of 1 Jul 2015 FINMA
A-01-11 Oém-FINMA Ordonnance réglant la perception d'émoluments et de taxes par l'Autorité fédérale de surveillance des marchés financiers
Status as of 1 Mar 2024 Federal Council
A-01-12 FINMA-AO Financial Market Audit Ordinance
Status as of 1 Jan 2015 Federal Council
A-01-13 Ordonnance de la FINMA sur le traitement des données personnelles dans le cadre de la surveillance
Status as of 1 Sep 2023 FINMA
A-01-20 OOS Ordonnance sur les organismes de surveillance dans la surveillance des marchés financiers
Status as of 1 Jan 2020 Federal Council

A-02 Currency and Swiss National Bank

A-02-01 NBA Federal Act on the Swiss National Bank
Status as of 1 Sep 2023
A-02-02 CPIA Federal Act on Currency and Payment Instruments
Status as of 1 Jan 2020
A-02-10 Ordonnance sur la monnaie
Status as of 1 Mar 2021 Federal Council
A-02-11 NBO Ordinance to the Federal Act on the Swiss National Bank
Status as of 1 Jan 2022 Swiss National Bank
A-02-20 Règlement d'organisation de la Banque nationale suisse
Status as of 4 May 2022 Swiss National Bank
A-02-21 Tarif pour les monnaies mises hors cours
Status as of 1 Jan 2007 Federal Department of Finance

A-03 Banks

A-03-01 LB Loi fédérale sur les banques et les caisses d'épargne
Status as of 1 Jan 2024
A-03-10 OB Ordonnance sur les banques et les caisses d'épargne
Status as of 1 Jan 2025 Future version Federal Council
A-03-10 BO Ordinance on Banks and Savings Banks
Status as of 23 Jan 2023 Federal Council
A-03-11 CAO Ordinance on the Capital Adequacy and Risk Diversification of Banks and Securities Firms
Status as of 1 Jan 2024 Federal Council
A-03-11 OFR Ordonnance sur les fonds propres et la répartition des risques des banques et des maisons de titres
Status as of 1 Jan 2025 Future version Federal Council
A-03-12 LiqO Ordinance on the Liquidity of Banks and Securities Firms
Status as of 1 Jan 2023 Federal Council
A-03-12 LiqO Ordinance on the Liquidity of Banks and Securities Firms
Status as of 1 Jan 2025 Future version Federal Council
A-03-20 FBO-FINMA Ordinance of the Swiss Financial Market Supervisory Authority on Foreign Banks in Switzerland
Status as of 1 Jan 2015 FINMA
A-03-21 BIO-FINMA Ordinance of the Swiss Financial Market Supervisory Authority on the Insolvency of Banks and Securities Firms
Status as of 1 Jan 2021 FINMA
A-03-22 FINMA-AO Ordinance on the Accounting of the Swiss Financial Market Supervisory Authority
Status as of 1 Jan 2020 FINMA
A-03-23 OPub-FINMA Ordonnance de la FINMA sur les obligations des banques et des maisons de titres en matière de publication
Status as of 1 Jan 2025 Future version FINMA
A-03-24 OPFP-FINMA Ordonnance de la FINMA sur le portefeuille de négociation et le portefeuille de la banque ainsi que les fonds propres pris en compte des banques et des maisons de titres
Status as of 1 Jan 2025 Future version FINMA
A-03-25 OLRO-FINMA Ordonnance de la FINMA sur le leverage ratio et les risques opérationnels des banques et des maisons de titres
Status as of 1 Jan 2025 Future version FINMA
A-03-26 OCré-FINMA Ordonnance de la FINMA sur les risques de crédit des banques et des maisons de titres
Status as of 1 Jan 2025 Future version FINMA
A-03-27 OMar-FINMA Ordonnance de la FINMA sur les risques de marché des banques et des maisons de titres
Status as of 1 Jan 2025 Future version FINMA
A-03-41 LCaS-COVID-19 Loi fédérale sur les crédits garantis par un cautionnement solidaire à la suite du coronavirus
Status as of 31 Mar 2023
A-03-42 OMCR 20 Ordonnance concernant les mesures pour les cas de rigueur destinées aux entreprises en lien avec l'épidémie de COVID-19
Status as of 1 May 2022 Federal Council

A-04 Financial Institutions

A-04-01 FinIA Federal Act on Financial Institutions
Status as of 1 Mar 2024
A-04-10 OEFIN Ordonnance sur les établissements financiers
Status as of 1 Jan 2025 Future version Federal Council
A-04-10 OEFIN Ordonnance sur les établissements financiers
Status as of 1 Mar 2024 Federal Council
A-04-20 OEFin-FINMA Ordonnance de l'Autorité fédérale de surveillance des marchés financiers sur les établissements financiers
Status as of 1 Jan 2021 FINMA

A-05 Financial Market Infrastructure

A-05-01 FinMIA Federal Act on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading
Status as of 1 Feb 2024
A-05-10 OIMF Ordonnance sur les infrastructures des marchés financiers et le comportement sur le marché en matière de négociation de valeurs mobilières et de dérivés
Status as of 1 Jan 2025 Future version Federal Council
A-05-10 FinMIO Ordinance on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading
Status as of 1 Jan 2023 Federal Council
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
Status as of 1 Feb 2023 FINMA
A-05-30 TOO Ordinance of the Takeover Board on Public Takeover Offers
Status as of 1 Jan 2016 Swiss Takeover Board

A-06 Securities Dealers

A-06 Securities Dealers

A-07 Insurance

A-07-01 LCA Loi fédérale sur le contrat d'assurance
Status as of 1 Jan 2024
A-07-02 LSA Loi fédérale sur la surveillance des entreprises d'assurance
Status as of 1 Jan 2024
A-07-10 OS Ordonnance sur la surveillance des entreprises d'assurance privées
Status as of 1 Jan 2026 Future version Federal Council
A-07-10 OS Ordonnance sur la surveillance des entreprises d'assurance privées
Status as of 1 Jan 2024 Federal Council
A-07-11 OSAss Ordonnance concernant la saisie, le séquestre et la réalisation des droits découlant d'assurances d'après la loi fédérale du 2 avril 1908 sur le contrat d'assurance
Status as of 1 Jan 1997 Federal Tribunal
A-07-12 Ordonnance supprimant des restrictions relatives à la liberté des conventions pour les contrats d'assurance
Status as of 1 Jan 1987 Federal Council
A-07-20 OS-FINMA Ordonnance de l'Autorité fédérale de surveillance des marchés financiers sur la surveillance des entreprises d'assurance privées
Status as of 15 Dec 2015 FINMA
A-07-21 OFA-FINMA Ordonnance de l'Autorité fédérale de surveillance des marchés financiers sur la faillite des entreprises d'assurance
Status as of 1 Jan 2013 FINMA

A-08 Audit Oversight

A-08-01 AOA Federal Act on the Licensing and Oversight of Auditors
Status as of 1 Mar 2024
A-08-10 AOO Ordinance on the Licensing and Oversight of Auditors
Status as of 1 Jan 2024 Federal Council
A-08-11 OO-FAOA Ordinance of the Federal Audit Oversight Authority on the Oversight of Audit Firms
Status as of 15 Dec 2022 Federal Audit Oversight Authority
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
Status as of 1 Nov 2023 Federal Audit Oversight Authority

A-09 UBS Takeover of Credit Suisse

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
Status as of 15 Sep 2023 Federal Council
A-09-01a Rapport explicatif
Status as of 19 Mar 2023 Federal Department of Finance

A-20 Financial Services and Products

A-20 Financial Services and Products

A-21 Financial Services

A-21-01 FinSA Federal Act on Financial Services
Status as of 1 Mar 2024
A-21-10 FinSO Ordinance on Financial Services
Status as of 1 Jan 2022 Federal Council

A-22 Collective Investment Schemes

A-22-01 LPCC Loi fédérale sur les placements collectifs de capitaux
Status as of 1 Mar 2024
A-22-10 OPCC Ordonnance sur les placements collectifs de capitaux
Status as of 1 Mar 2024 Federal Council
A-22-20 CISO-FINMA Ordinance of the Swiss Financial Market Supervisory Authority on Collective Investment Schemes
Status as of 1 Jan 2021 FINMA
A-22-21 CISBO-FINMA Ordinance of the Swiss Financial Market Supervisory Authority on the Bankruptcy of Collective Investment Schemes
Status as of 1 Jan 2021 FINMA

A-23 Occupational Pension

A-23-01 LPP Loi fédérale sur la prévoyance professionnelle vieillesse, survivants et invalidité
Status as of 1 Jul 2024 Future version
A-23-01 LPP Loi fédérale sur la prévoyance professionnelle vieillesse, survivants et invalidité
Status as of 1 Jan 2024
A-23-02 LFLP Loi fédérale sur le libre passage dans la prévoyance professionnelle vieillesse, survivants et invalidité
Status as of 1 Jan 2024
A-23-10 OPP 1 Ordonnance sur la surveillance dans la prévoyance professionnelle
Status as of 1 Jan 2024 Federal Council
A-23-11 OPP 2 Ordonnance sur la prévoyance professionnelle vieillesse, survivants et invalidité
Status as of 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
Status as of 1 Mar 2024 Federal Council
A-23-13 OLP Ordonnance sur le libre passage dans la prévoyance professionnelle vieillesse, survivants et invalidité
Status as of 1 Mar 2024 Federal Council
A-23-14 OFP Ordonnance sur les fondations de placement
Status as of 1 Mar 2024 Federal Council
A-23-15 Ordonnance du DFI concernant les conditions requises pour le dépassement des limites des créances par débiteur et des limites en matière de participation par les fondations de placement
Status as of 1 Aug 2019 Federal Department of Home Affairs

A-24 Mortgage Bonds

A-24-01 LLG Loi sur l'émission de lettres de gage
Status as of 1 Jan 2023
A-24-10 OLG Ordonnance sur l'émission de lettres de gage
Status as of 1 Jan 2025 Future version Federal Council
A-24-10 OLG Ordonnance sur l'émission de lettres de gage
Status as of 1 Jan 2023 Federal Council

A-25 Consumer Credit

A-25-01 LCC Loi fédérale sur le crédit à la consommation
Status as of 1 Sep 2023
A-25-10 OLCC Ordonnance relative à la loi fédérale sur le crédit à la consommation
Status as of 1 Jul 2021 Federal Council
A-25-12 Ordonnance du DFJP sur le taux d'intérêt maximal pour les crédits à la consommation
Status as of 1 Jan 2024 Federal Department of Justice and Police

A-26 Intermediated Securities

A-26-01 FISA Federal Act on Intermediated Securities
Status as of 1 Jan 2023
A-26-02 Hague Convention on the Law Applicable to Certain Rights in Respect of Securities Held with an Intermediary
Status as of 1 Apr 2017
Status table can be found on: https://www.hcch.net/en/instruments/conventions/status-table/?cid=72
A-26-03 Arrêté fédéral portant approbation et mise en oeuvre de la Convention de La Haye sur la loi applicable à certains droits sur des titres détenus auprès d'un intermédiaire
Status as of 1 Jan 2010

A-27 Trusts

A-27-01 Hague Convention on the Law Applicable to Trusts and on their Recognition
Status as of 5 May 2020
Status table can be found on: https://www.hcch.net/en/instruments/conventions/status-table/?cid=59
A-27-02 Arrêté fédéral portant approbation et mise en oeuvre de la Convention de La Haye relative à la loi applicable au trust et à sa reconnaissance
Status as of 1 Jul 2007

A-30 Protection of Various Public Interests

A-30 Protection of Various Public Interests

A-31 Combating of Money Laundering

A-31-01 AMLA Federal Act on Combating Money Laundering and Terrorist Financing
Status as of 1 Mar 2024
A-31-10 OBA Ordonnance sur la lutte contre le blanchiment d'argent et le financement du terrorisme
Status as of 1 Jan 2023 Federal Council
A-31-11 OBCBA Ordonnance sur le Bureau de communication en matière de blanchiment d'argent
Status as of 1 Jan 2024 Federal Council
A-31-12 Ordonnance sur le contrôle du trafic transfrontière de l'argent liquide
Status as of 1 Jan 2022 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
Status 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
Status 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
Status as of 1 Jan 2023 Federal Office for Customs and Border Security

A-32 International sanctions

The complete list of sanctions in force in Switzerland is maintained by the State Secretariat for Economic Affairs
A-32-01 EmbA Federal Act on the Implementation of International Sanctions
Status as of 1 Jul 2023

A-33 Illicitly Acquired Assets of PEPs

A-33-01 FIAA Federal Act on the Freezing and the Restitution of Illicit Assets Held by Foreign Politically Exposed Persons
Status as of 1 Jul 2016

A-34 Data Protection

A-34-01 FADP Federal Act on Data Protection
Status as of 1 Sep 2023
A-34-10 DPO Ordinance on Data Protection
Status as of 1 Jan 2024 Federal Council

A-35 International Administrative Assistance in Tax Matters

A-35-10 TAAA Federal Act on International Administrative Assistance in Tax Matters
Status as of 1 Sep 2023
A-35-11 OAAF Ordonnance sur l'assistance administrative internationale en matière fiscale
Status as of 1 Jan 2017 Federal Council
A-35-20 Loi fédérale sur la mise en oeuvre de l'accord FATCA entre la Suisse et les Etats-Unis
Status as of 30 Jun 2014
A-35-30 Loi fédérale sur l'abrogation de la loi du 17 décembre 2004 sur la fiscalité de l'épargne et de la loi fédérale du 15 juin 2012 sur l'imposition internationale à la source
Status as of 1 Jan 2017
A-35-40 AEOIA Federal Act on the International Automatic Exchange of Information in Tax Matters
Status as of 1 Sep 2023
A-35-41 Ordinance on the International Automatic Exchange of Information in Tax Matters
Status as of 1 Jan 2022 Federal Council
A-35-45 Directive Norme d'échange automatique de renseignements relatifs aux comptes financiers : Norme commune de déclaration
Status as of 8 Jan 2021 Federal Tax Administration
A-35-50 Program for Non-prosecution Agreements or Non-target Letters for Swiss Banks and Joint Statement
Status as of 29 Aug 2013 U.S. Department of Justice
Non-prosecution agreements executed under the Swiss bank program : see https://www.justice.gov/tax/swiss-bank-program.

A-36 Asset management in case of curatorship or guardianship

A-36-01 OGPCT Ordonnance sur la gestion du patrimoine dans le cadre d'une curatelle ou d'une tutelle
Status as of 1 Jan 2024 Federal Council

A-40 Market Access

A-40 Market Access

A-41 Berne Financial Services Agreement

A-41-01 Agreement between the Swiss Confederation and the United Kingdom of Great Britain and Northern Ireland on Mutual Recognition in Financial Services (preprint version)
Status as of 21 Dec 2023
Signed 21.12.2023. The agreement requires approval by the parliaments of both parties before entering into force.

A-50 Cantonal Laws

A-50 Cantonal Laws

A-51 Ticino

A-51-01 LFid Legge sull'esercizio delle professioni di fiduciario
Status as of 1 Jan 2022 Tessin
Raccolta delle leggi del Cantone Ticino, 953.100.
A-51-02 RFid Regolamento della legge sull'esercizio delle professioni di fiduciario
Status as of 1 Jan 2022 Tessin
Raccolta delle leggi del Cantone Ticino, 953.110.

B FINMA

B-01 FINMA

B-01-01 Regulations on the Organisation of the Swiss Financial Market Supervisory Authority FINMA
Status as of 1 Dec 2023 FINMA
B-01-02 Code de conduite de l'Autorité fédérale de surveillance des marchés financiers
Status as of 1 Apr 2023 FINMA
B-01-03 Guidelines on Financial Market Regulation
Status as of 5 Dec 2019 FINMA
B-01-04 FINMA Enforcement Policy
Status as of 25 Sep 2014 FINMA
B-01-05 FINMA Communication Policy
Status as of 25 Sep 2014 FINMA
B-01-06 Règlement d'organisation de la direction et des divisions subordonnées de l'Autorité fédérale de surveillance des marchés financiers FINMA
Status as of 1 Dec 2023 FINMA
B-01-10 Memorandum of Understanding in the Field of Financial Stability between the Swiss Financial Market Supervisory Authority FINMA and the Swiss National Bank SNB
Status as of 15 May 2017 FINMA, Swiss National Bank
B-01-11 Memorandum of Understanding on Trilateral Cooperation in the Area of Financial Stability and Financial Market Regulation between the Swiss Financial Market Authorities
Status as of 2 Dec 2019 Federal Department of Finance, FINMA, Swiss National Bank

B-03 FINMA Newsletters

B-03-15 FINMA Newsletter 15 (2010) FINMA Newsletter 15 : Risks in Business Dealings with Iran
Status as of 18 Oct 2010 FINMA
B-03-31 FINMA Newsletter 31 (2011) FINMA Newsletter 31 : Unauthorised Trading - Banks
Status as of 13 Dec 2011 FINMA
B-03-40 Comm. FINMA 40 (2012) Communication FINMA 40 : Placements collectifs de capitaux et distribution - Marchés
Status as of 16 Oct 2012 FINMA
Document partiellement en allemand.
B-03-51 Comm. FINMA 51 (2013) Communication FINMA 51 : L'assurance des dommages dus aux événements naturels selon l'art. 33 LSA et l'art. 171 ss OS
Status as of 15 Oct 2013 FINMA
B-03-52 FINMA Newsletter 52 (2013) FINMA Newsletter 52 : Trading Own Equity Securities with the Purpose of Ensuring Liquidity under the New Provisions on Market Manipulation
Status as of 18 Nov 2013 FINMA
B-03-53 FINMA Newsletter 53 (2013) FINMA Newsletter 53 : IOSCO Principles for Financial Benchmarks
Status as of 22 Nov 2013 FINMA
B-03-54 Comm. FINMA 54 (2014) Communication FINMA 54 : Procédure de dispense simplifiée pour les banques suisses dans le cadre d'activités financières transfrontières en Allemagne - Banques
Status as of 6 Jan 2014 FINMA
B-03-59 Comm. FINMA 59 (2014) Communication FINMA 59 : Conséquences prudentielles du Foreign Account Tax Compliance Act (FATCA)
Status as of 28 Feb 2014 FINMA

B-04 FINMA Guidance

B-04-01 FINMA Guidance 01/2016 FINMA Guidance 01/2016 : Financial Market Infrastructure Act : FINMA's Next Steps
Status as of 6 Jul 2016 FINMA
B-04-02 FINMA Guidance 01/2017 FINMA Guidance 01/2017 : Financial Market Infrastructure Act : Deadlines for the Exchange of Collateral
Status as of 31 Jan 2017 FINMA
B-04-03 FINMA Guidance 02/2017 FINMA Guidance 02/2017 : Financial Market Infrastructure Act : Reporting Requirements / Trade Repositories
Status as of 3 Apr 2017 FINMA
B-04-04 FINMA Guidance 03/2017 FINMA Guidance 03/2017 : New Rules on Public Deposits / Questionnaire on FinTech Licensing
Status as of 6 Jul 2017 FINMA
B-04-05 FINMA Guidance 04/2017 FINMA Guidance 04/2017 : Regulatory Treatment of Initial Coin Offerings
Status as of 29 Sep 2017 FINMA
B-04-06 FINMA Guidance 05/2017 FINMA Guidance 05/2017 : Financial Market Infrastructure Act : Reporting to a Trade Repository / Extending the Transition Period
Status as of 18 Oct 2017 FINMA
B-04-07 FINMA Guidance 01/2018 FINMA Guidance 01/2018 : Implementing the Requirement for Amending Financial Contracts (Art. 12 Para. 2bis BO in conjunction with Arts. 56 and 61a BIO-FINMA)
Status as of 21 Mar 2018 FINMA
B-04-08 FINMA Guidance 02/2018 FINMA Guidance 02/2018 : New Recognition Obligation for Foreign Trading Venues for the Trading of Swiss Equity Securities
Status as of 30 Nov 2018 FINMA
B-04-09 FINMA Guidance 03/2018 FINMA Guidance 03/2018 : LIBOR : Risks of Potential Replacement
Status as of 17 Dec 2018 FINMA
B-04-10 FINMA Guidance 04/2018 FINMA Guidance 04/2018 : Recognition of EU Trading Venues for the Trading of Swiss Equity Securities
Status as of 21 Dec 2018 FINMA
B-04-11 FINMA Guidance 01/2019 FINMA Guidance 01/2019 : BREXIT: Recognition of UK Derivatives Regulations
Status as of 21 Feb 2019 FINMA
B-04-12 FINMA Guidance 02/2019 FINMA Guidance 02/2019 : Payments on the Blockchain
Status as of 26 Aug 2019 FINMA
B-04-13 FINMA Guidance 03/2019 FINMA Guidance 03/2019 : Recognition of Equivalence of CFTC Risk Mitigation Obligations for Transactions in OTC Derivatives That Are Not Cleared Centrally
Status as of 24 Sep 2019 FINMA
B-04-14 FINMA Guidance 04/2019 FINMA Guidance 04/2019 : Financial Market Infrastructure Ordinance : Exchange of Collateral / Extension of Transitional Period for Equity Options
Status as of 13 Dec 2019 FINMA
B-04-15 FINMA Guidance 01/2020 FINMA Guidance 01/2020 : Financial Market Infrastructure Act and Ordinance: Derivatives Trading
Status as of 20 Mar 2020 FINMA
B-04-16 FINMA Guidance 02/2020 FINMA Guidance 02/2020 : Temporary Exemptions for Banks Due to the COVID-19 Crisis
Status as of 31 Mar 2020 FINMA
B-04-17 FINMA Guidance 03/2020 FINMA Guidance 03/2020 : Exemptions for Supervised Institutions Due to the COVID-19 Crisis
Status as of 7 Apr 2020 FINMA
B-04-18 FINMA Guidance 04/2020 FINMA Guidance 04/2020 : Exemptions for Supervised Institutions Due to the COVID-19 Crisis
Status as of 14 Apr 2020 FINMA
B-04-19 FINMA Guidance 05/2020 FINMA Guidance 05/2020 : Duty to Report Cyber Attacks Pursuant to Article 29 Para. 2 FINMASA
Status as of 7 May 2020 FINMA
B-04-20 FINMA Guidance 06/2020 FINMA Guidance 06/2020 : Exemptions for Supervised Institutions Due to the COVID-19 Crisis
Status as of 19 May 2020 FINMA
B-04-21 FINMA Guidance 07/2020 FINMA Guidance 07/2020 : Exemptions Relating to Identification Under the Anti-Money Laundering Act Due to the COVID-19 Pandemic
Status as of 2 Oct 2020 FINMA
B-04-22 FINMA Guidance 08/2020 FINMA Guidance 08/2020 : LIBOR Replacement for Derivatives
Status as of 16 Oct 2020 FINMA
B-04-23 FINMA Guidance 09/2020 FINMA Guidance 09/2020 : Financial Market Infrastructure Ordinance : Exchange of Collateral / Further Extension of Transitional Period for Equity Options
Status as of 12 Nov 2020 FINMA
B-04-24 FINMA Guidance 10/2020 FINMA Guidance 10/2020 : LIBOR Transition Roadmap
Status as of 4 Dec 2020 FINMA
B-04-25 FINMA Guidance 01/2021 FINMA Guidance 01/2021 : Trading in Swiss Shares : Recognition of Various UK Trading Venues
Status as of 3 Feb 2021 FINMA
B-04-26 FINMA Guidance 02/2021 FINMA Guidance 02/2021 : Derivative Trading Obligations and Reference Rate Replacement
Status as of 5 Jul 2021 FINMA
B-04-27 FINMA Guidance 03/2021 FINMA Guidance 03/2021 : LIBOR Replacement - Progress and best practices
Status as of 16 Sep 2021 FINMA
B-04-28 Comm. FINMA 04/2021 Communication FINMA sur la surveillance 04/2021 : Mise en oeuvre des nouvelles approches de corrections de valeur pour risques de défaillance des créances non compromises
Status as of 7 Oct 2021 FINMA
B-04-29 FINMA Guidance 05/2021 FINMA Guidance 05/2021 : Preventing and Combating Greenwashing
Status as of 3 Nov 2021 FINMA
B-04-30 FINMA Guidance 01/2022 FINMA Guidance 01/2022 : Timetable for the Licensing Process for Portfolfio Managers and Trustees
Status as of 4 May 2022 FINMA
B-04-31 FINMA Guidance 02/2022 FINMA Guidance 02/2022 : First Measures in Cases of Late Applications from Portfolio Managers and Trustees
Status as of 11 Aug 2022 FINMA
B-04-32 FINMA Guidance 03/2022 FINMA Guidance 03/2022 : Implementation of Climate-related Risk Disclosures by Category 1-2 Institutions
Status as of 29 Nov 2022 FINMA
B-04-33 FINMA Guidance 01/2023 FINMA Guidance 01/2023 : Developments with Regard to the Management of Climate Risks
Status as of 24 Jan 2023 FINMA
B-04-34 FINMA Guidance 02/2023 FINMA Guidance 02/2023 : Status of the Licensing Process for Portfolio Managers and Trustees
Status as of 30 Jan 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
Status as of 18 Aug 2023 FINMA
B-04-36 FINMA Guidance 04/2023 FINMA Guidance 04/2023 : Action Plan for Insurance Intermediaries
Status as of 21 Aug 2023 FINMA
B-04-37 FINMA Guidance 05/2023 FINMA Guidance 05/2023 : Money Laundering Risk Analysis Pursuant to Article 25 para. 2 AMLO-FINMA
Status as of 24 Aug 2023 FINMA
B-04-38 FINMA Guidance 06/2023 FINMA Guidance 06/2023 : Implementation of the "Prudent Person" Principle and Relief for Business with Professional Policyholders
Status as of 31 Oct 2023 FINMA
B-04-39 Comm. FINMA 07/2023 Communication FINMA sur la surveillance 07/2023 : Modèles quantitatifs temporaires pour le rapport sur la situation financière des entreprises d'assurance pour l'exercice 2023
Status as of 11 Dec 2023 FINMA
B-04-40 FINMA Guidance 08/2023 FINMA Guidance 08/2023 : Staking
Status as of 20 Dec 2023 FINMA
B-04-41 FINMA Guidance 09/2023 FINMA Guidance 099/2023 : Financial Market Infrastructure Ordinance: Exchange of Collateral / Further Extension of Transitional Period for Equity Options
Status as of 20 Dec 2023 FINMA
B-04-42 FINMA Guidance 01/2024 FINMA Guidance 01/2024 : Status of the licensing process and supervision for portfolio managers and trustees, plus new approach to thresholds for the commercial activity of trustees
Status as of 2 Feb 2024 FINMA

B-05 Other FINMA Communications

B-05-01 Guidelines for Enquiries Regarding the Regulatory Framework for Initial Coin Offerings (ICOs)
Status as of 16 Feb 2018 FINMA
B-05-02 Supplement to the Guidelines for Enquiries Regarding the Regulatory Framework for Initial Coin Offerings (ICOs)
Status as of 11 Sep 2019 FINMA
B-05-03 Guidelines for FinTech Licence Applications Pursuant to Article 1b of the Banking Act
Status as of 5 May 2023 FINMA
See also https://www.finma.ch/en/authorisation/fintech/fintech-bewilligung
B-05-04 Guidelines for Applications Concerning Licensing as a DLT Trading Facility According to Article 73a ff. of the Financial Market Infrastructure Act
Status as of 2 Aug 2021 FINMA
See also https://www.finma.ch/en/authorisation/fintech/dlt-handelssystem
B-05-05 Guide pratique pour les requêtes de reconnaissance d'une autorégulation comme standard minimal
Status as of 20 Dec 2021 FINMA

B-08 FINMA Circulars 2008

B-08-03 FINMA Circ. 08/3 Circular 2008/3: Commercial Acceptance of Public Deposits by Non-banks under the Banking Act
Status as of 1 Jul 2019 FINMA
In its French, German and Italian circulars, FINMA adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020. This inofficial translation does not contains these adjustments.
B-08-04 FINMA Circ. 08/4 Circular 2008/04 : Maintenance of Securities Journals by Securities Firms and Participants
Status as of 1 Jan 2020 FINMA
FINMA retroactively adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-08-14 FINMA Circ. 08/14 Circular 2008/14: Supervisory Reporting for Annual and Semi-annual Financial Statements in the Banking Sector
Status as of 1 Jan 2021 FINMA
B-08-15 Circ.-FINMA 08/15 Circulaire 2008/15 : Les fusions, les scissions, les transformations et les transferts de patrimoine d'assureurs-maladie selon la LAMal dans le domaine des assurances-maladie complémentaires selon la LCA
Status as of 1 Jan 2009 FINMA
B-08-17 FINMA Circ. 08/17 Circular 2008/17: Exchange of Information Between SROs and FINMA Regarding Affiliations, Exclusions and Withdrawals of Membership of Financial Intermediaries
Status as of 1 Jan 2016 FINMA
B-08-19 FINMA Circ. 08/19 Circular 2008/19 : Capital Requirements for Credit Risks at Banks
Status as of 1 Jan 2014 FINMA
Gradually replaced by FINMA Circular 17/7.
B-08-20 Circ.-FINMA 08/20 Circulaire 2008/20 : Exigences de fonds propres relatives aux risques de marché dans le secteur bancaire
Status as of 1 Jan 2020 FINMA
Modifications du 04.11.2020: "Avec l'entrée en vigueur de la législation liée à la LSFin et la LEFin au 1er janvier 2020, les renvois et notions y relatifs ont été adaptés. Au 1er janvier 2020, les renvois à la Circ.-FINMA «Comptabilité - banques» ont été adaptés à l'ordonnance de la FINMA du 31 octobre 2019 sur les comptes." Abrogée le 01.01.2025 (remplacée par l'OMar-FINMA).
B-08-21 FINMA Circ. 08/21 Circular 2008/21: Capital Adequacy Requirements and Qualitative Requirements for Operational Risks at Banks
Status as of 1 Jan 2020 FINMA
Replaced by FINMA Circular 23/1 on 01.01.2024. The rules governing capital requirements (cm 3 to 116) continue to apply until the FINMA Ordinance on the leverage ratio and operational risks comes into force on 01.01.2025.
B-08-25 Circ.-FINMA 08/25 Circulaire 2008/25 : Obligation indépendante des entreprises d'assurance de renseigner sur tout fait susceptible de concerner la surveillance
Status as of 1 Jan 2009 FINMA
B-08-36 Circ.-FINMA 08/36 Circulaire 2008/36 : Comptabilité de la prévoyance professionnelle
Status as of 1 Jan 2009 FINMA
B-08-42 Circ.-FINMA 08/42 Circulaire 2008/42 : Provisions techniques dans l'assurance dommages
Status as of 16 May 2017 FINMA
B-08-43 Circ.-FINMA 08/43 Circulaire 2008/43 : Provisions techniques dans l'assurance sur la vie
Status as of 1 Jan 2016 FINMA

B-09 FINMA Circulars 2009

B-09 FINMA Circulars 2009

B-10 FINMA Circulars 2010

B-10-01 FINMA Circ. 10/1 Circular 2010/1: Minimum Standards for Remuneration Schemes of Financial Institutions
Status as of 1 Jan 2020 FINMA
Amendment of 04.11.2020: FINMA retroactively adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-10-03 Circ.-FINMA 10/3 Circulaire 2010/3 : Assurance complémentaire à l'assurance-maladie sociale et questions particulières de l'assurance-maladie privée
Status as of 1 Jun 2021 FINMA

B-11 FINMA Circulars 2011

B-11-01 Circ.-FINMA 11/1 Circulaire 2011/1 : Précisions concernant l'Ordonnance sur le blanchiment d'argent (OBA)
Status as of 1 Jan 2020 FINMA
Modification du 04.11.2020 : suite à l'entrée en vigueur de la législation liée à la LSFin et la LEFin au 01.01.2020, la FINMA a adapté rétroactivement les renvois et notions y relatifs.
B-11-02 FINMA Circ. 11/2 Circular 2011/2 : Capital Buffer and Capital Planning in the Banking Sector
Status as of 1 Jan 2020 FINMA
Amendment of 04.11.2020: FINMA retroactively adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-11-03 Circ.-FINMA 11/3 Circulaire 2011/3 : Provisions techniques en réassurance
Status as of 1 Jan 2016 FINMA

B-12 FINMA Circulars 2012

B-12-01 FINMA Circ. 12/1 Circular 2012/1: Recognition of External Credit Assessment Institutions (Credit Rating Agencies)
Status as of 1 Jan 2015 FINMA
FINMA adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.

B-13 FINMA Circulars 2013

B-13-01 FINMA Circ. 13/1 Circular 2013/1: Eligible Capital at Banks for Regulatory Purposes
Status as of 1 Jan 2020 FINMA
Repealed on 01.01.2025 (replaced by the FINMA Ordinance on the trading book and the bank's book as well as the equity capital taken into account by banks and securities firms).
B-13-03 FINMA Circ. 13/3 Circular 2013/3: Auditing
Status as of 1 Jan 2024 FINMA
The annexes (only in German and French) can be consulted on https://www.finma.ch/en/documentation/circulars/appendices.
B-13-03a FINMA Circ. 13/3 Appendices 1-22 to FINMA Circular 2013/3: Auditing
Status as of 1 Jan 2024 FINMA
The annexes 1 to 22 (Excel files) can be consulted in French or German on the FINMA Website.
B-13-05 FINMA Circ. 13/5 Circular 2013/5: Principles for Recording Liquidity Risks and Liquidity Reporting for Insurers
Status as of 1 Jan 2016 FINMA
FINMA adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-13-07 Circ.-FINMA 13/7 Circulaire 2013/7 : Limitation des positions internes du groupe pour les banques
Status as of 1 Jan 2020 FINMA
Modification du 04.11.2020 : suite à l'entrée en vigueur de la législation liée à la LSFin et la LEFin au 01.01.2020, la FINMA a adapté rétroactivement les renvois et notions y relatifs.
B-13-08 FINMA Circ. 13/8 Circular 2013/8: Supervisory Rules on Market Conduct in Securities Trading
Status as of 1 Jan 2021 FINMA

B-15 FINMA Circulars 2015

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
Status as of 8 Mar 2023 FINMA
B-15-03 FINMA Circ. 15/3 Circular 2015/3: Calculating the Unweighted Capital Ratio (Leverage Ratio) at Banks
Status as of 30 Jun 2018 FINMA
FINMA adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020. Repealed on 01.01.2024 (replaced by the FINMA-Ordinance on the leverage ratio and operational risks of banks and securities firms).

B-16 FINMA Circulars 2016

B-16-01 Circ.-FINMA 16/1 Circulaire 2016/1 : Exigences prudentielles de publication
Status as of 31 Dec 2021 FINMA
Abrogée le 01.01.2025 (remplacée par l'OPub-FINMA).
B-16-02 FINMA Circ. 16/2 Circular 2016/2: Principles for the Financial Condition Report
Status as of 1 Jul 2021 FINMA
The annexes can be consulted on www.finma.ch > Documentation > Circulars > Appendices.
B-16-03 FINMA Circ. 16/3 Circular 2016/3 : Basic Principles for Conducting an Own Risk and Solvency Assessment (ORSA) and for Reporting to FINMA
Status as of 1 Jan 2019 FINMA
B-16-04 FINMA Circ. 16/4 Circular 2016/4: Supervision, Organisation, Structure, Intra-group Transactions, and Reporting by Insurance Groups and Conglomerates
Status as of 1 Jan 2016 FINMA
FINMA adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-16-05 FINMA Circ. 16/5 Circular 2016/5 : Investments Made for Total Assets and for Tied Assets of Insurance Companies
Status as of 1 Jan 2018 FINMA
Para. 572 repealed on 01.01.2018.
B-16-06 Circ.-FINMA 16/6 Circulaire 2016/6 : Assurance sur la vie
Status as of 1 Jan 2020 FINMA
Modification du 04.11.2020 : suite à l'entrée en vigueur de la législation liée à la LSFin et la LEFin au 01.01.2020, la FINMA a adapté rétroactivement les renvois et notions y relatifs.
B-16-07 FINMA Circ. 16/7 Circular 2016/7: Due Diligence Requirements for Client Onboarding via Digital Channels
Status as of 1 Jun 2021 FINMA

B-17 FINMA Circulars 2017

B-17-01 FINMA Circ. 17/1 Circular 2017/1 : Corporate Governance, Risk Management and Internal Controls at Banks
Status as of 1 Jan 2020 FINMA
Amendment of 04.11.2020: FINMA retroactively adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-17-02 FINMA Circ. 17/2 Circular 2017/2 : Corporate Governance, Risk Management and Internal Control System at Insurers
Status as of 1 Jan 2017 FINMA
B-17-03 FINMA Circ. 17/3 Circular 2017/3 : Swiss Solvency Test (SST)
Status as of 1 Jan 2017 FINMA
FINMA adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-17-04 Circ.-FINMA 17/4 Circulaire 2017/4 : Exigences posées à l'actuaire responsable
Status as of 1 Jan 2017 FINMA
B-17-05 Circ.-FINMA 17/5 Circulaire 2017/5 : Exigences envers les plans d'exploitation des entreprises d'assurance
Status as of 1 Jan 2017 FINMA
B-17-06 FINMA Circ. 17/6 Circular 2017/6 : Direct Transmission of Non-public Information to Foreign Authorities and Entities by Supervised Parties
Status as of 1 Apr 2021 FINMA
B-17-07 FINMA Circ. 17/7 Circular 2017/7 : Capital Requirements for Credit Risk at Banks
Status as of 1 Jan 2021 FINMA
Repealed on 01.01.2025 (replaced by the FINMA Ordinance on credit risks of banks and securities firms)

B-18 FINMA Circulars 2018

B-18-01 FINMA Circ. 18/1 FINMA Circular 2018/1 : Duties of Operators of Organised Trading Facilities (OTFs)
Status as of 1 Jan 2020 FINMA
Amendment of 04.11.2020: FINMA retroactively adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-18-02 FINMA Circ. 18/2 Circular 2018/2 : Duty to Report Securities Transactions
Status as of 1 Jan 2020 FINMA
Amendment of 04.11.2020: FINMA retroactively adjusted the references and terms upon the entry into force of FinIA and FinSA on 01.01.2020.
B-18-03 FINMA Circ. 18/3 Circular 2018/3 : Outsourcing - Banks, Insurance Companies and Selected Financial Institutions Under FinIA
Status as of 1 Jan 2021 FINMA
B-18-04 Circ.-FINMA 18/4 Circulaire 2018/4 : Définition des tarifs d'épargne, de risque et de frais, des valeurs de règlement et des conditions générales d'assurance de la prévoyance professionnelle dans le plan d’exploitation
Status as of 1 Dec 2018 FINMA

B-19 FINMA Circulars 2019

B-19-01 Circ.-FINMA 19/1 Circulaire 2019/1 : Prescriptions en matière de répartition des risques pour les banques
Status as of 1 Jan 2020 FINMA
Modification du 04.11.2020 : suite à l'entrée en vigueur de la législation liée à la LSFin et la LEFin au 01.01.2020, la FINMA a adapté rétroactivement les renvois et notions y relatifs.
B-19-02 Circ.-FINMA 19/2 Circulaire 2019/2 : Mesure, gestion, surveillance et contrôle des risques de taux d'intérêt dans le portefeuille de la banque
Status as of 1 Jan 2020 FINMA
Modification du 04.11.2020 : suite à l'entrée en vigueur de la législation liée à la LSFin et la LEFin au 01.01.2020, la FINMA a adapté rétroactivement les renvois et notions y relatifs.

B-20 FINMA Circulars 2020

B-20-01 FINMA Circ. 20/1 Circular 2020/1 : Accounting Rules for Banks, Investment Firms, Financial Groups and Conglomerates
Status as of 1 Jan 2021 FINMA

B-23 FINMA Circulars 2023

B-23-01 FINMA Circ. 23/1 Circular 2023/1 : Managing Operational Risks and Ensuring Operational Resilience
Status as of 1 Jan 2024 FINMA

B-99 SFBC - Archive

B-99 SFBC - Archive

C Other Authorities

C-01 Federal Council

C-01-01 Sustainable Finance Guidelines
Status as of 24 Jun 2020 Federal Council
C-01-02 Swiss Climate Scores Update: Best Practice Transparency on the Paris Alignment of Investments
Status as of 8 Dec 2023 Federal Council
C-01-03 Sustainable Finance in Switzerland : Areas for Action for a Leading Sustainable Financial Centre, 2022–2025 : Federal Council Report
Status as of 16 Dec 2022 Federal Council

C-02 FDF Federal Department of Finance

C-02 FDF Federal Department of Finance

C-03 SNB Swiss National Bank

C-03-01 Terms of Business of the Swiss National Bank
Status as of 1 Feb 2022 Swiss National Bank
C-03-05 Regulations on Private Financial Investments and Financial Transactions by Members of SNB Management
Status as of 1 Jan 2023 Swiss National Bank
C-03-06 Private Financial Investments and Financial Transactions by SNB Staff (Bank Directive no. 1401)
Status as of 1 Jan 2024 Swiss National Bank
C-03-07 Code of Conduct for Members of the Bank Council of the Swiss National Bank
Status as of 1 Oct 2022 Swiss National Bank
C-03-08 Swiss National Bank Code of Conduct
Status as of 1 Jan 2022 Swiss National Bank
C-03-10 Instruction Sheet on the Reproduction of Banknotes
Status as of 30 Aug 2017 Swiss National Bank
C-03-11 Instruction Sheet on SNB COVID-19 Refinancing Facility (CRF)
Status as of 27 Sep 2023 Swiss National Bank

C-05 TOB Swiss Takeover Board

C-05-01 R-TOB Regulations of the Takeover Board
Status as of 1 Jan 2016 Swiss Takeover Board
C-05-05 Directive on the Conflicts of Interest of Members and Employees of the Takeover Board
Status as of 1 Jan 2016 Swiss Takeover Board
C-05-11 TOB Circular No. 1 TOB Circular No. 1: Buyback Programmes
Status as of 1 Jan 2016 Swiss Takeover Board
C-05-12 TOB Circular No. 2 TOB Circular No. 2 : Liquidity in the Context of Takeover Law
Status as of 1 Jan 2016 Swiss Takeover Board
C-05-13 TOB Circular No. 3 TOB Circular No. 3 : Review of Public Takeover Offers
Status as of 1 Jan 2017 Swiss Takeover Board
C-05-14 TOB Circular No. 4 TOB Circular No. 4 : Communication to Major Media
Status as of 1 Jan 2016 Swiss Takeover Board
C-05-15 TOB Circular No. 5 TOB Circular No. 5 : Restructuring Exemption / Restructuring Plan of the Target Company
Status as of 1 Oct 2020 Swiss Takeover Board

C-09 OPSC Occupational Pension Supervisory Commission

C-09-01 Règlement d'organisation et de gestion de la Commission de haute surveillance de la prévoyance professionnelle
Status as of 1 Nov 2012 Occupational Pension Supervisory Commission
C-09-10 D-01/2012 Directives D-01/2012 : Agrément des experts en prévoyance professionnelle
Status as of 1 Jan 2023 Occupational Pension Supervisory Commission
C-09-11 D-02/2012 Directives D-02/2012 : Standard des rapports annuels des autorités de surveillance
Status as of 1 Jul 2016 Occupational Pension Supervisory Commission
C-09-13 D-02/2013 Directives D-02/2013 : Reporting Asset Management Costs
Status as of 1 Jan 2013 Occupational Pension Supervisory Commission
C-09-14 D-03/2013 Directives D-03/2013 : Indépendance des experts en matière de prévoyance professionnelle
Status as of 1 Jan 2016 Occupational Pension Supervisory Commission
C-09-15 D-04/2013 Directives D-04/2013 : Examen et rapport de l'organe de révision
Status as of 1 Oct 2022 Occupational Pension Supervisory Commission
C-09-16 D-05/2013 Directives D-05/2013 : Key Information and Additional Disclosure Requirements for Investment Foundations
Status as of 19 Dec 2013 Occupational Pension Supervisory Commission
C-09-19 D-03/2014 Directives D-03/2014 : Reconnaissance de directives techniques de la CSEP comme standard minimal
Status as of 31 Dec 2023 Occupational Pension Supervisory Commission
C-09-21 D-05/2014 Directives D-05/2014 : Octroi de prêts hypothécaires ("hypothèques sur son propre immeuble")
Status as of 1 Dec 2014 Occupational Pension Supervisory Commission
C-09-22 D-01/2016 Directives D-01/2016 : Requirements for Investment Foundations
Status as of 1 Jan 2020 Occupational Pension Supervisory Commission
C-09-23 D-02/2016 Directives D-02/2016 : Fonds de bienfaisance visés par l'art. 89a, al. 7, CC
Status as of 1 Feb 2019 Occupational Pension Supervisory Commission
C-09-24 D-03/2016 Directives D-03/2016 : L'assurance qualité dans la révision selon la LPP
Status as of 25 Oct 2018 Occupational Pension Supervisory Commission
C-09-25 D-01/2017 Directives D-01/2017 : Mesures destinées à résorber les découverts dans la prévoyance professionnelle
Status as of 1 Jan 2018 Occupational Pension Supervisory Commission
C-09-26 D-01/2021 Directives D-01/2021 : Exigences de transparence et de contrôle interne pour les institutions de prévoyance en concurrence entre elles
Status as of 1 Mar 2021 Occupational Pension Supervisory Commission
C-09-27 D-02/2021 Directives D-02/2021 : Assurance qualité en cas de gestion externe de la fortune de prévoyance
Status as of 1 Nov 2021 Occupational Pension Supervisory Commission
C-09-28 D-01/2024 Directives D-01/2024 : Attestation de l'expert en prévoyance professionnelle selon l'art. 52e, al. 1bis, LPP et attestation selon l'art. 1a OPP 2 (respect des principes de la prévoyance professionnelle)
Status as of 1 Jan 2024 Occupational Pension Supervisory Commission

C-11 SECO State Secretariat for Economic Affairs

C-11-11 Indication des prix et publicité des services bancaires et analogues : brochure d'information
Status as of 1 Jul 2019 State Secretariat for Economic Affairs

C-20 Supervisory Organisations

C-20 Supervisory Organisations

C-21 OSIF Organisme de surveillance des instituts financiers

C-21-01 Supervision Contract
Status as of 28 Jun 2021 Organisme de surveillance des instituts financiers
Undated document (marked "v28062021).

C-22 OSFIN Organisation de surveillance financière

C-22-01 Concept de surveillance d'OSFIN Organisation de surveillance financière
Status as of 25 May 2020 Organisation de surveillance financière
C-22-02 Contrat d'examen des conditions d'assujettissement
Status as of 1 Jul 2021 Organisation de surveillance financière

C-23 SO-FIT Supervisory Organisation for Financial Intermediaries & Trustees

C-23-01 Règlement de l'Organisme de surveillance pour intermédiaires financiers & trustees (SO-FIT) relatif aux obligations des assujettis à l'organisme de surveillance
Status as of 1 Oct 2020 Supervisory Organisation for Financial Intermediaries & Trustees
C-23-02 Contrat d'analyse de la demande d'assujettissement entre SO-FIT et le candidat à l'assujettissement
Status as of 1 Oct 2020 Supervisory Organisation for Financial Intermediaries & Trustees
Document non daté, publié sur le site internet de SO-FIT en octobre 2020.
C-23-03 Contrat d'assujettissement à SO-FIT entre SO-FIT et l'assujetti
Status as of 1 Oct 2020 Supervisory Organisation for Financial Intermediaries & Trustees
Document non daté, publié sur le site internet de SO-FIT en octobre 2020.

C-24 FINcontrol Suisse

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
Status as of 1 Jul 2023 FINcontrol Suisse Ltd

C-25 AOOS Société anonyme suisse de surveillance

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)
Status as of 1 Jan 2023 AOOS Société anonyme suisse de surveillance
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
Status as of 20 Jun 2023 AOOS Société anonyme suisse de surveillance
Document non daté, publié sur le site internet de l'AOOS le 20 juin 2023.
C-25-03 Contrat 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
Status as of 1 Jan 2021 AOOS Société anonyme suisse de surveillance
Document non daté, publié sur le site internet de l'AOOS en janvier 2021.
C-25-04 Guide pour l'affiliation à l'OS d'AOOS
Status as of 9 Feb 2022 AOOS Société anonyme suisse de surveillance

C-40 Registers of Advisors

C-40 Registers of Advisors

C-41 Registration Office BX Swiss

C-41-01 Rules of the Registration Office of BX Swiss AG
Status as of 20 Jul 2020 BX Swiss Ltd
With effect from 20.07.2020 FINMA authorised BX Swiss as a registration body for client advisers.
C-41-02 Guidelines Concerning Proof of the Required Knowledge According to Art. 6 FinSA
Status as of 20 Jul 2020 BX Swiss Ltd

C-42 Registration Office ARIF

C-42-01 General Terms and Conditions of the Client Advisor Register Kept by ARIF
Status as of 26 Jul 2021 Association romande des intermédiaires financiers
With effect from 14.09.2020 FINMA authorised ARIF as a registration body for client advisers. French version annotated "v26072021" after minor corrections. This English version contains these corrections but is still annotated "v13102020". Only the French version is the authentic text.
C-42-02 Information Document on Proof of Knowledge
Status as of 31 Jan 2022 Association romande des intermédiaires financiers

C-43 Client Advisers' Register RegFix - PolyReg Services

C-43-01 Règlement d'enregistrement de l'organe d'enregistrement pour le registre des conseillers RegFix
Status as of 1 Jan 2022 PolyReg Services Ltd

C-60 Prospectus Review Offices

C-60 Prospectus Review Offices

C-61 SIX Prospectus Office

C-61-01 Criteria for Coherence and Understandability
Status as of 1 Jun 2020 SIX Exchange Regulation Ltd
C-61-02 DFI Directive Pro-Forma Financial Information (Annex 1, item. 2.8.6 let. c FINSO)
Status as of 1 Jun 2020 SIX Exchange Regulation Ltd
C-61-03 List of Generally Recognised Accounting Standards
Status as of 1 Apr 2023 SIX Exchange Regulation Ltd
C-61-04 List of Countries
Status as of 1 Jun 2020 SIX Exchange Regulation Ltd
C-61-05 List of Recognised Foreign Trading Venues
Status as of 1 Jun 2020 SIX Exchange Regulation Ltd
C-61-06 Regulation on the Suspension of Deadlines in the Prospectus Review Procedure
Status as of 1 Jun 2020 SIX Exchange Regulation Ltd
C-61-07 Supplements on Facts Not Subject to Approval
Status as of 1 Jun 2020 SIX Exchange Regulation Ltd

C-62 Prospectus Review Office BX Swiss

C-62-01 Rules of the Prospectus Review Office of BX Swiss AG
Status as of 20 Jul 2020 BX Swiss Ltd
C-62-02 Directive Pro Forma Financial Statements
Status as of 1 Jun 2020 BX Swiss Ltd
C-62-03 Directive Exemptions from the Duty to Review for Prospectuses/Supplements / Accepted Accounting Standards
Status as of 1 Apr 2023 BX Swiss Ltd

D Self-Regulation

D-01 Swiss Banking - Self-regulation

D-01-01 Guidelines for the Management of Country Risk
Status as of 31 Dec 1997 Swiss Bankers Association (SBA)
D-01-03 Allocation Directives for the New Issues Market
Status as of 1 Sep 2023 Swiss Bankers Association (SBA)
These directives are no longer a self-regulation recognised as a minimum standard by FINMA.
D-01-04 Traitement de la fausse monnaie, des fausses pièces de monnaie et des faux lingots en métal précieux
Status as of 13 Mar 2007 Swiss Bankers Association (SBA)
D-01-05 Directives on the Independence of Financial Research
Status as of 1 Feb 2018 Swiss Bankers Association (SBA)
D-01-10 Convention XIII simplifiant l'encaissement des effets de change et des chèques
Status as of 1 Jul 1984 Swiss Bankers Association (SBA)
D-01-11 Directives relatives aux exigences minimales pour les financements hypothécaires
Status as of 1 Jan 2020 Swiss Bankers Association (SBA)
D-01-11 Directives relatives aux exigences minimales pour les financements hypothécaires
Status as of 1 Jan 2025 Future version Swiss Bankers Association (SBA)
D-01-12 Directives concernant l'examen, l'évaluation et le traitement des crédits garantis par gage immobilier
Status as of 1 Jan 2025 Future version Swiss Bankers Association (SBA)
D-01-12 Directives concernant l'examen, l'évaluation et le traitement des crédits garantis par gage immobilier
Status as of 1 Jan 2020 Swiss Bankers Association (SBA)
D-01-13 Guidelines on the Treatment of Assets Without Contact and Dormant Assets Held at Swiss Banks (Guidelines on Dormant Assets)
Status as of 1 Jul 2022 Swiss Bankers Association (SBA)
D-01-18 Directives on Fiduciary Investments
Status as of 1 Jan 2017 Swiss Bankers Association (SBA)
D-01-19 Portfolio Management Guidelines
Status as of 1 Jan 2022 Swiss Bankers Association (SBA)
These revised Guidelines are no longer recognized by FINMA as a minimum standard and therefore have no general binding effect. They were approved by the Board of Directors of the SBA on 11.11.2020.
D-01-20 CDB 20 Agreement on the Swiss Banks' Code of Conduct with Regard to the Exercise of Due Diligence
Status as of 1 Jan 2020 Swiss Bankers Association (SBA)
D-01-20a Convention relative à l'obligation de diligence des banques : dénonciation CDB 16 et déclaration d'adhésion CDB 20
Status as of 5 Jun 2019 Swiss Bankers Association (SBA)
Document annexé à la circulaire de l'ASB n° 7991 du 05.06.2019.
D-01-20b Règlement de procédure par devant la Commission de surveillance CDB
Status as of 1 May 2019 Swiss Bankers Association (SBA)
Circulaire ASB n° 7990 du 27.05.2019.
D-01-20c Règlement d'enquête CDB
Status as of 1 Jan 2020 Swiss Bankers Association (SBA)
Circulaire ASB n° 8010 du 20.12.2019.
D-01-21 Commentary on the Agreement on the Swiss Banks' Code of Conduct with Regard to the Exercise of Due Diligence (CDB 20)
Status as of 1 Jan 2020 Swiss Bankers Association (SBA)
Undated. Published on 04.04.2019.
D-01-22 Guidelines for the Financial Service Providers on the Integration of ESG-Preferences and ESG-Risks into Investment Advice and Portfolio Management
Status as of 1 Oct 2023 Swiss Bankers Association (SBA)
D-01-23 Guidelines for Mortgage Providers on the Promotion of Energy Efficiency
Status as of 1 Jan 2023 Swiss Bankers Association (SBA)

D-02 Swiss Banking - Guidance and Recommendation

D-02-01 Information from the SBA regarding the disclosure of client details in payment transactions, securities transactions and other transaction types in connection with SWIFT
Status as of 1 Jun 2009 Swiss Bankers Association (SBA)
D-02-02 Recommandations de l'ASB et de la COPMA relatives à la gestion du patrimoine conformément au droit de la protection de l'enfant et de l'adulte
Status as of 1 Jan 2024 Conférence en matière de protection des mineurs et des adultes, Swiss Bankers Association (SBA)
D-02-03 Opérations de financement pour des personnes sous curatelle : une recommandation de l'ASB et de la Conférence en matière de protection des mineurs et des adultes (COPMA)
Status as of 1 Nov 2015 Conférence en matière de protection des mineurs et des adultes, Swiss Bankers Association (SBA)
D-02-04 Information from the SBA regarding the disclosure of client data and other information in international payment transactions and investments in foreign securities
Status as of 1 Feb 2016 Swiss Bankers Association (SBA)
D-02-05 SBA Guidelines on Opening Corporate Accounts for DLT Companies (2nd Edition)
Status as of 1 Aug 2019 Swiss Bankers Association (SBA)
D-02-06 Risks Involved in Trading Financial Instruments
Status as of 1 Jun 2023 Swiss Bankers Association (SBA)
D-02-07 Recommandation "Obligation de collaborer selon l'art. 448 CC" : Demande de renseignements d'une APEA auprès d'une banque
Status as of 1 Dec 2019 Conférence en matière de protection des mineurs et des adultes, Swiss Bankers Association (SBA)
D-02-08 Cloud Guidelines : A Guide to Secure Cloud Banking (2nd edition)
Status as of 1 Jun 2020 Swiss Bankers Association (SBA)
D-02-08a Appendix I to the Cloud Guidelines : Guide to Interpreting Chapter V, Margin nos 63-69 : Audit of the Cloud Services and Means Used
Status as of 1 Dec 2020 Swiss Bankers Association (SBA)
D-02-09 Guideline for the Integration of ESG Considerations into the Advisory Process for Private Clients
Status as of 4 Jun 2020 Swiss Bankers Association (SBA)
D-02-10 Lignes directrices pour le traitement des crédits COVID-19
Status as of 2 Feb 2022 Swiss Bankers Association (SBA)
D-02-11 Gestion des risques d'insolvabilité : Recommandations de l'ASB à l'intention des fournisseurs de crédit en cas de difficultés financières d'une entreprise emprunteuse
Status as of 1 Jan 2021 Swiss Bankers Association (SBA)
D-02-11a Accord moratoire : modèle en lien avec les Recommandations de l'ASB à l'intention des fournisseurs de crédit en cas de difficultés financières d'une entreprise emprunteuse
Status as of 1 Jan 2021 Swiss Bankers Association (SBA)
En vigueur le 01.01.2021.
D-02-11b Contrat de garantie financière : modèle en lien avec les Recommandations de l'ASB à l'intention des fournisseurs de crédit en cas de difficultés financières d'une entreprise emprunteuse
Status as of 1 Jan 2021 Swiss Bankers Association (SBA)
En vigueur le 01.01.2021.
D-02-11c Contrat relatif à la gestion de sûretés à titre fiduciaire : modèle en lien avec les Recommandations de l'ASB à l'intention des fournisseurs de crédit en cas de difficultés financières d'une entreprise emprunteuse
Status as of 1 Jan 2021 Swiss Bankers Association (SBA)
En vigueur le 01.01.2021.
D-02-12 Handling Data in Day-to-day Business: SBA Guidelines
Status as of 1 May 2021 Swiss Bankers Association (SBA)
D-02-13 Sustainable Finance - Principles and Recommendations: A Swiss Bankers Association's Overview for Banks
Status as of 1 Jun 2022 Swiss Bankers Association (SBA)

D-03 esisuisse

D-03-01 Agreement on Self-regulation for the Deposit Insurance Scheme
Status as of 1 Jan 2023 esisuisse
D-03-10 Memorandum of Understanding zur Koordination und zum Informationsaustausch zwischen der Eidgenössischen Finanzmarktaufsicht FINMA und der Einlagensicherung der Banken und Effektenhändler (esisuisse)
Status as of 14 Feb 2014 esisuisse, FINMA

D-05 SIA Swiss Insurance Association

See also D-35 SRO-SIA
D-05-01 Business continuity management (BCM) pour les compagnies d'assurances en Suisse : standards minimaux et recommandations
Status as of 1 Oct 2015 Swiss Insurance Association
D-05-02 Règles de conduite pour compagnies d'assurances en matière de gestion de placements de capitaux
Status as of 1 Jul 2014 Swiss Insurance Association

D-07 Asset Management Association Switzerland

Formed in autumn 2020 by the merger of the Swiss Funds and Asset Management Association (SFAMA) and the Asset Management Platform (AMP) Switzerland.
D-07-01 Asset Management Association Switzerland Code of Conduct
Status as of 1 Jan 2022 Asset Management Association Switzerland
Version dated 5 August 2021 and 23 September 2021.
D-07-30 Guidelines on the Valuation of the Assets of Collective Investment Schemes and the Handling of Valuation Errors in the Case of Open-end Collective Investment Schemes
Status as of 1 Jan 2022 Asset Management Association Switzerland
D-07-31 Guidelines on the Calculation and Publication of Performance Data of Collective Investment Schemes
Status as of 1 Jan 2022 Asset Management Association Switzerland
D-07-33 Guidelines on the Calculation and Disclosure of the Total Expense Ratio (TER) of Collective Investment Schemes
Status as of 1 Jan 2022 Asset Management Association Switzerland
D-07-50 Guidelines for Money Market Funds
Status as of 1 Jan 2022 Asset Management Association Switzerland
D-07-60 Guidelines for Real Estate Funds
Status as of 1 Jan 2022 Asset Management Association Switzerland
D-07-80 Self-regulation on Transparency and Disclosure for Sustainability-related Collective Assets
Status as of 1 Nov 2023 Asset Management Association Switzerland
D-07-85 Swiss Stewardship Code
Status as of 4 Oct 2023 Asset Management Association Switzerland, Swiss Sustainable Finance

D-09 economiesuisse

D-09-01 Swiss Code of Best Practice for Corporate Governance
Status as of 6 Feb 2023 economiesuisse
Published on 06.02.2023 after having been adopted by the committee of economiesuisse on 14.11.2022.
D-09-02 Guidelines for Institutional Investors Governing the Exercising of Participation Rights in Public Limited Companies
Status as of 21 Jan 2013 Association suisse des institutions de prévoyance, Compenswiss, economiesuisse , Ethos - Swiss Foundation for Sustainable Development, Federation of Industrial and Service Groups in Switzerland, Swiss Bankers Association (SBA)

D-10 Trading Venues

D-10 Trading Venues

D-11 BX Swiss
The self-regulation of BX Swiss can be viewed here

D-11 BX Swiss

D-12 SIX Swiss Exchange
The self-regulation of SIX Swiss Exchange can be viewed here

D-12 SIX Swiss Exchange

D-13 SDX - SIX Digital Exchange
The self-regulation of SDX - SIX Digital Trading can be viewed here

D-13 SDX - SIX Digital Exchange

D-14 SIX Repo
The self-regulation of SIX Repo can be viewed here

D-14 SIX Repo

D-30 Self-Regulatory Organisations

D-30 Self-Regulatory Organisations

D-31 ARIF Association Romande des Intermédiaires Financiers

D-31-01 Self-regulation Rules of the ARIF
Status as of 25 Apr 2023 Association romande des intermédiaires financiers
D-31-02 ARIF Directives 2 to 13
Status as of 25 Apr 2023 Association romande des intermédiaires financiers
Undated. Modifications of 20.03.2023 ratified by FINMA on 25.04.2023.

D-32 OAR AOOS Société anonyme suisse de surveillance

D-32-01 Règlement de l'organisme d'autorégulation selon la loi sur le blanchiment d'argent (LBA)
Status as of 1 Jan 2023 AOOS Société anonyme suisse de surveillance

D-33 OAR/ASSL Organisation d'Autorégulation de l'Association Suisse des Sociétés de Leasing

D-33-01 RAR Règlement d'autorégulation OAR/ASSL
Status as of 1 Apr 2023 Selfregulation Organisation of the Association suisse des sociétés de leasing
D-33-01a Annexe A au Règlement d'autorégulation OAR/ASSL : Aide-mémoire Indices de blanchiment d'argent dans les affaires de leasing
Status as of 1 Jan 2020 Selfregulation Organisation of the Association suisse des sociétés de leasing
D-33-02 Règlement relatif à la formation LBA des intermédiaires financiers affiliés
Status as of 13 Jan 2016 Selfregulation Organisation of the Association suisse des sociétés de leasing

D-34 OAD FCT Organismo di Autodisciplina dei Fiduciari del Cantone Ticino

D-34-01 ROAD Regolamento dell'Organismo di autodisciplina dei fiduciari del Cantone Ticino
Status as of 1 Jan 2020 Organismo di autodisciplina dei fiduciari del Cantone Ticino

D-35 SRO-SIA Self-Regulatory Organisation of the Swiss Insurance Association

See also D-05 SIA Swiss Insurance Association
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
Status as of 1 Jan 2023 Self-Regulatory Organisation of the Swiss Insurance Association
Art. 42 al. 1 OBA-FINMA: "Les obligations de diligence des institutions d'assurance sont régies par les dispositions du Règlement du 22 juin 2018 de l'organisme d'autorégulation de l'Association Suisse d'Assurances pour la lutte contre le blanchiment d'argent."
D-35-01a Commentaire du Règlement de l'organisme d'autorégulation de l'Association suisse d'assurances pour la lutte contre le blanchiment d'argent selon l'art. 25 de la loi du 10 octobre 1997 sur le blanchiment d'argent
Status as of 1 Jan 2020 Self-Regulatory Organisation of the Swiss Insurance Association
Le commentaire est actuellement en cours de révision (mises à jour en raison des modifications du règlement OAR-ASA entrées en vigueur le 1.1.2023)

D-36 OAR-Fiduciaire/Suisse

D-36-01 Reglement der SRO-Treuhand|Suisse
Status as of 1 Apr 2023 OAR-Fiduciaire/Suisse

D-37 OAR FSA/FSN Organisme d'Autoréglementation de la Fédération Suisse des Avocats et de la Fédération Suisse des Notaires

D-37-01 Règlement de l'Organisme d'autoréglementation de la Fédération suisse des avocats et de la Fédération suisse des notaires
Status as of 1 Apr 2023 Organisme d’autoréglementation de la Fédération suisse des avocats et de la Fédération suisse des notaires

D-38 SRO SO-FIT Supervisory Organisation for Financial Intermediaries & Trustees

Successor of OAR-G since Autumn 2020.
D-38-01 Règlement de l'Organisme de surveillance pour intermédiaires financiers & trustees (SO-FIT) relatif aux obligations des affiliés à l'organisme d'autorégulation
Status as of 12 Jul 2021 Supervisory Organisation for Financial Intermediaries & Trustees
Annexe 1 du contrat d'affiliation à SO-FIT. L'OAR SO-FIT est le successeur de l'OAR-G.
D-38-03 Règlement de l'Organisme de surveillance pour intermédiaires financiers & trustees (SO-FIT) relatif aux auditeurs pour la surveillance LBA
Status as of 1 Oct 2020 Supervisory Organisation for Financial Intermediaries & Trustees
Succède au Règlement de l'OAR-G relatif aux réviseurs.

D-39 PolyReg General Self-Regulatory Organisation

D-39-01 Regulations of the SRO PolyReg according to Art. 25 AMLA
Status as of 1 Mar 2023 PolyReg General Self-Regulatory Organisation

D-40 SAIC Swiss Association of Investment Companies

D-40-01 SRO-Reglement
Status as of 1 Apr 2023 Swiss Association of Investment Companies
Inkl. Anhang "Liste der Anhaltspunkte für Geldwäscherei" (unverändert seit 01.01.2016)

D-41 VQF Financial Services Standards Association

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
Status as of 1 Apr 2023 Financial Services Standards Association

D-42 OAR-G Organisme d'Autorégulation des Gérants de Patrimoine
Became the SRO SO-FIT in Autumn 2020.

D-42 OAR-G Organisme d'Autorégulation des Gérants de Patrimoine

D-50 Ombudsman's Offices

D-50 Ombudsman's Offices

D-51 Swiss Banking Ombudsman

D-51-01 Rules of Procedure for the Swiss Banking Ombudsman
Status as of 1 Jan 2022 Swiss Banking Ombudsman
D-51-02 Conflict of Interest Rules for the Ombudsman's Office (Code of Conduct)
Status as of 1 Jul 2013 Swiss Banking Ombudsman
D-51-03 Organisational Regulations
Status as of 1 Jan 2022 Swiss Banking Ombudsman

D-52 OFD Ombudsman Financial Services Providers

D-52-01 Organisational Regulations for the OFD
Status as of 1 Jul 2020 Ombudsman Financial Services Providers
D-52-02 Règlement de procédure de l'OFD
Status as of 1 Jul 2020 Ombudsman Financial Services Providers
D-52-03 Sanction and Arbitration Rules for the OFD
Status as of 1 Jul 2020 Ombudsman Financial Services Providers

D-53 FINOS Finanzombudsstelle Schweiz

D-53-01 Rules of Procedure for Finanzombudsstelle Schweiz (FINOS)
Status as of 1 Jan 2020 Finanzombudsstelle Schweiz
D-53-02 FINOS Guidelines for Mediation
Status as of 24 Jun 2020 Finanzombudsstelle Schweiz
Undated document. However, FINOS has been recognised as Ombudsman according to the FinSA on 24.06.2020.

D-54 OFS Ombud Finance Switzerland

D-54-01 Rules of Procedure
Status as of 24 Jun 2020 Ombud Finance Switzerland
Undated document, but OFS was recognised as an official ombudsman's office on June 24th, 2020.

D-55 FINSOM Financial Services Ombudsman

D-55-01 Commercial Mediation
Status as of 4 Aug 2023 Financial Services Ombudsman
D-55-02 Affiliation
Status as of 16 Sep 2023 Financial Services Ombudsman

D-56 Swiss Arbitration Centre

Former SCAI Swiss Chambers' Arbitration Institution
D-56-01 Rules of Mediation Procedure for Financial Services Disputes
Status as of 1 Jun 2021 Swiss Arbitration Centre Ltd

D-57 Terraxis

D-57-01 Organisational Rules (with FinSA Reference) of Terraxis Ombudsman Office
Status as of 1 Oct 2020 Terraxis Ltd
Undated document, modified in October 2020 and March 2021. Terraxis has been recognised as Ombudsman according to the FinSA on 27.07.2020.
D-57-02 Mediation Rules (with Reference to the FinSA) of Terraxis Ombudsman Office
Status as of 1 Oct 2020 Terraxis Ltd
Undated document, published online by Terraxis in October 2020.
D-57-03 Ombudsman's Code of Conduct
Status as of 27 Jul 2020 Terraxis Ltd
Undated document. However, Terraxis has been recognised as Ombudsman according to the FinSA on 27.07.2020.

D-58 Organe de médiation indépendant suisse
This mediation body ceased its activities on 31 Dec. 2022.

D-58 Organe de médiation indépendant suisse

D-59 Liechtensteinische Schlichtungsstelle im Finanzdienstleistungsbereich

Ombudsman for asset managers domiciled in Liechtenstein that are members of the Association of Independent Asset Managers in Liechtenstein and have clients in Switzerland, or that otherwise fall within the scope of the FinSA.
D-59-01 Verfahrensordnung der Ombudsstelle gemäss Finanzdienstleistungsgesetz (FIDLEG, SR 950.1)
Status as of 1 Jan 2021 Liechtensteinische Schlichtungsstelle im Finanzdienstleistungsbereich
Diese Schlichtungsstelle ist eine vom EDF anerkannte Ombudsstelle für Vermögensverwalter mit Domizil in Liechtenstein, die Mitglieder des Verbands unabhängiger Vermögensverwalter in Liechtenstein sind, und die Kunden in der Schweiz haben oder in anderer Weise vom Anwendungsbereich des FIDLEG betroffen sind.

D-60 Ombudsman of Private Insurance and of Suva

D-60-01 Règlement de l'Office de médiation
Status as of 1 Jan 2022 Ombudsman of Private Insurance and of Suva

D-70 Other Organizations

D-70 Other Organizations

D-71 ExpertSuisse

D-71-01 Règles d'organisation et d'éthique professionnelle
Status as of 15 Sep 2020 ExpertSuisse
D-71-02 Directives sur l'indépendance
Status as of 15 Dec 2022 ExpertSuisse
D-71-03 PH 70 Schweizer Prüfungshinweis 70: Aufsichtsprüfung
Status as of 29 Jan 2020 ExpertSuisse
Von der FINMA am 29. Januar 2020 als verbindlich anzuwendende Selbstregulierung bestimmt. Ersetzt den PH70 vom 21. November 2017 und gilt für Prüfungen, deren Berichte Prüfperioden beginnend ab 1. Januar 2020 umfassen.

D-72 SFAA Swiss Financial Analysts Association

D-72-01 SFAA Code of Ethical Conduct
Status as of 1 Jun 2021 Swiss Financial Analysts Association

D-73 SAV Swiss Association of Actuaries

D-73 SAV Swiss Association of Actuaries

D-74 SATC Swiss Association of Trust Companies

D-74-01 Code of Ethics and Business Conduct
Status as of 28 Apr 2008 Swiss Association of Trust Companies

D-75 SAIFA Swiss Association of Independent Financial Advisors

D-75-01 Règles d'éthique professionnelle du GSCGI
Status as of 1 Jan 2014 Swiss Association of Independent Financial Advisors
D-75-01a Annexe A aux Règles d'éthique professionnelle : Possibilités de placement dans le cas de gestion discrétionnaire
Status as of 1 Jan 2014 Swiss Association of Independent Financial Advisors
Document non-daté.
D-75-02 Règlement d'application des Règles d'éthique professionnelle
Status as of 1 Jan 2014 Swiss Association of Independent Financial Advisors

D-76 SIBA Swiss Insurance Brokers Association

D-76-01 Code de conduite
Status as of 5 Nov 2019 Swiss Insurance Brokers Association
D-76-02 Standards professionnels pour les courtiers SIBA
Status as of 7 Sep 2020 Swiss Insurance Brokers Association

D-77 SAM Swiss Association of Wealth Managers

Former name: Swiss Association of Asset Managers (SAAM) (until 2020)
D-77-03 Contrats de gestion de fortune et gestion de fortune discrétionnaire : recommandations de l'ASG
Status as of 1 Jan 2022 Swiss Association of Asset Managers
D-77-04 Recommandations professionnelles relatives à la gestion de placements collectifs dans le cadre des seuils « de Minimis »
Status as of 25 Apr 2023 Swiss Association of Asset Managers