BF

Entry into force for Switzerland: 1st July 2007. The status table (as of September 24, 2024) can be found in the French, German or Italian versions, or at: 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-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 AMLO Ordinance on Combating Money Laundering and Terrorist Financing

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 15 Sep 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-41 Berne Financial Services Agreement

A-41-01 BFSA 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 4 Sep 2024

Signed 21.12.2023. The agreement requires approval by the parliaments of both parties before entering into force. Parliamentary debate (Curia Vista 24.067) underway since 04.09.2024.

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 15 May 2024 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 15 May 2024 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-04-43 FINMA Guidance 02/2024 FINMA Guidance 02/2024 : Status of the follow-up documentation process for insurance intermediaries

Status as of 29 Apr 2024 FINMA

B-04-44 FINMA Guidance 03/2024 FINMA Guidance 03/2024 : Findings from FINMA's cyber risk supervision, clarification of FINMA Guidance 05/2020 and scenario-based cyber risk exercises

Status as of 7 Jun 2024 FINMA

B-04-45 FINMA Guidance 04/2024 FINMA Guidance 04/2024: Operational Risk Management by Fund Management Companies and Managers of Collective Assets

Status as of 12 Jun 2024 FINMA

B-04-46 Comm. FINMA 05/2024 Communication FINMA sur la surveillance 05/2024 : Obligations des entreprises d'assurance concernant les intermédiaires d'assurance

Status as of 17 Jul 2024 FINMA

B-04-47 FINMA Guidance 06/2024 FINMA Guidance 06/2024: Stablecoins: risks and challenges for issuers of stablecoins and banks providing guarantees

Status as of 26 Jul 2024 FINMA

B-04-48 FINMA Guidance 07/2024 FINMA Guidance 07/2024: Calculation of Minimum Capital for Operational Risks: Exclusion of Loss Events

Status as of 13 Dec 2024 FINMA

B-04-49 FINMA Guidance 08/2024 FINMA Guidance 08/2024: Governance and Risk Management when Using Artificial Intelligence

Status as of 18 Dec 2024 FINMA

B-04-50 Comm. FINMA 01/2025 Communication FINMA sur la surveillance 01/2025 : Accès aux rapports de gestion des banques

Status as of 27 Feb 2025 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-08-36 Circ.-FINMA 08/36 Circulaire 2008/36 : Comptabilité de la prévoyance professionnelle

Status as of 1 Jan 2009 FINMA

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 Sep 2024 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-12 FINMA Circulars 2012

B-13 FINMA Circulars 2013

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-16 FINMA Circulars 2016

B-16-02 FINMA Circ. 16/2 Circular 2016/2: Principles for the Financial Condition Report

Status as of 1 Sep 2024 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 Sep 2024 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 Sep 2024 FINMA

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-17-04 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 Sep 2024 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-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-24 FINMA Circulars 2024

B-24-01 Circ.-FINMA 24/1 Circulaire 2024/1 : Test suisse de solvabilité (SST)

Status as of 1 Sep 2024 FINMA

B-24-02 Circ.-FINMA 24/2 Circulaire 2024/2 : Assurance sur la vie

Status as of 1 Sep 2024 FINMA

B-25 FINMA Circulars 2025

B-25-01 Circ.-FINMA 25/1 Circulaire 2025/1 : Activités d'audit

Status as of 1 Jan 2025 FINMA

B-25-02 Circ.-FINMA 25/2 Circulaire 2025/2 : Application des règles de comportement selon la LSFin et l'OSFin par les prestataires de services financiers

Status as of 1 Jan 2025 FINMA

B-25-03 FINMA Circ. 25/3 Circular 2025/3 : Liquidity Management, Risk Management and Reporting

Status as of 1 Jan 2025 FINMA

B-25-04 FINMA Circ. 25/4 Circular 2025/4 : Practice relating to consolidated supervision and its scope and content

Status as of 1 Jul 2025 Future version FINMA

B-26 FINMA Circulars 2026

B-26-01 FINMA Circ. 26/1 Circular 2026/1 : Management of climate- and other nature-related financial risks

Status as of 1 Jan 2026 Future version FINMA

B-99 SFBC - Archive

C Other Authorities

C-01 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-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-03-12 Instruction sheet governing liquidity against mortgage collateral (LAMC)

Status as of 17 Jun 2024 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 2024 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 : Exigences à remplir par les fondations de placement

Status as of 1 Sep 2024 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-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 14 Mar 2024 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 29 Oct 2024 Supervisory Organisation for Financial Intermediaries & Trustees

Document non daté, publié sur le site internet de SO-FIT en octobre 2020. Point 17 modifié en octobre 2024.

C-24 FINcontrol Suisse

C-24-01 Supervisory Concept for the Ongoing Supervision of Portfolio Managers according to Art. 17 para. 1 FinIA and Trustees according to Art. 17 para. 2 FinIA as well as of Audit Firms and Lead Auditors

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, avec une correction en octobre 2024 (v. française uniquement).

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-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-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 2025 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 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 and the Prevention of Greenwashing in Investment Advice and Portfolio Management

Status as of 1 Sep 2024 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-02-10 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

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-05-03 Self-regulation on the Prevention of Greenwashing in Sustainability-related Unit-linked Life Insurance

Status as of 1 Jan 2025 Swiss Insurance Association

Undated document, published on 19.06.2024 on the SIA website.

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 Sep 2024 Asset Management Association Switzerland

D-07-85 Swiss Stewardship Code

Status as of 4 Oct 2023 Asset Management Association Switzerland, Swiss Sustainable Finance

D-07-90 Specialist Recommendation on Risk Management

Status as of 7 Sep 2018 Asset Management Association Switzerland

D-07-91 "Sustainability Risk Management" Recommendations

Status as of 1 Jul 2024 Asset Management Association Switzerland

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-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-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 1B to 13

Status as of 1 Apr 2024 Association romande des intermédiaires financiers

Undated. Directive 1B was added in April 2024.

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

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 Règlement de l'OAR-Fiduciaire|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-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 Jan 2025 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-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 25 Jun 2024 Ombudsman of Private Insurance and of Suva

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 25 Sep 2024 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-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

D-78 Insurance Industry Vocational Training Association

D-78-01 Normes minimales relatives à la formation initiale et continue des intermédiaires d'assurance selon l'art. 43 LSA

Table of contents

A-00 Supervisory Authorities and Supervised Entities

Status as of 1 Mar 2024

Status as of 1 Feb 2020 Federal Council

Status as of 1 Jul 2015 FINMA

Status as of 1 Mar 2024 Federal Council

Status as of 1 Jan 2015 Federal Council

Status as of 1 Sep 2023 FINMA

Status as of 1 Jan 2020 Federal Council

Status as of 1 Jan 2025 FINMA

Status as of 1 Sep 2023

Status as of 1 Jan 2020

Status as of 1 Mar 2021 Federal Council

Status as of 1 Jul 2024 Swiss National Bank

Status as of 4 May 2022 Swiss National Bank

Status as of 1 Jan 2007 Federal Department of Finance

Status as of 1 Jan 2024

Status as of 1 Jan 2025 Federal Council

Status as of 24 Jan 2025 Federal Council

Status as of 1 Jan 2025 Federal Council

Status as of 1 Jan 2015 FINMA

Status as of 1 Jan 2021 FINMA

Status as of 1 Jan 2020 FINMA

Status as of 1 Jan 2025 FINMA

Status as of 1 Jan 2025 FINMA

Status as of 1 Jan 2025 FINMA

Status as of 1 Jan 2025 FINMA

Status as of 1 Jan 2025 FINMA

Status as of 31 Mar 2023

Status as of 1 May 2022 Federal Council

Status as of 1 Mar 2024

Status as of 1 Jan 2025 Federal Council

Status as of 1 Jan 2021 FINMA

Status as of 1 Feb 2024

Status as of 1 Jan 2025 Federal Council

Status as of 1 Feb 2023 FINMA

Status as of 1 Jan 2016 Swiss Takeover Board

A-06 Securities Dealers

Status as of 1 Jan 2024

Status as of 1 Sep 2024

Status as of 1 Jan 2026 Future version Federal Council

Status as of 1 Sep 2024 Federal Council

Status as of 1 Jan 1997 Federal Tribunal

Status as of 1 Jan 1987 Federal Council

Status as of 1 Sep 2024 FINMA

Status as of 1 Jan 2013 FINMA

Status as of 1 Mar 2024

Status as of 1 Jan 2024 Federal Council

Status as of 15 Dec 2022 Federal Audit Oversight Authority

Status as of 1 Nov 2023 Federal Audit Oversight Authority

Status as of 15 Sep 2023 Federal Council

Status as of 19 Mar 2023 Federal Department of Finance

A-20 Financial Services and Products

Status as of 1 Mar 2024

Status as of 1 Jan 2022 Federal Council

Status as of 1 Mar 2024

Status as of 1 Mar 2024 Federal Council

Status as of 1 Jan 2021 FINMA

Status as of 1 Jan 2021 FINMA

Status as of 1 Jan 2025

Status as of 1 Jan 2024

Status as of 1 Jan 2024 Federal Council

Status as of 1 Jan 2025 Federal Council

Status as of 1 Jan 2025 Federal Council

Status as of 1 Mar 2024 Federal Council

Status as of 1 Jul 2024 Federal Council

Status as of 1 Aug 2019 Federal Department of Home Affairs

Status as of 1 Jan 2023

Status as of 1 Jan 2025 Federal Council

Status as of 1 Sep 2023

Status as of 1 Jul 2021 Federal Council

Status as of 1 Jan 2025 Federal Department of Justice and Police

Status as of 1 Jan 2023

Status as of 1 Apr 2017

Status as of 1 Jan 2010

Status as of 24 Sep 2024

Status as of 1 Jul 2007

A-30 Protection of Various Public Interests

Status as of 1 Mar 2024

Status as of 1 Jan 2023 Federal Council