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List of abbreviations

AEOIA Federal Act on the International Automatic Exchange of Information in Tax Matters A-35-40 AMAS Asset Management Association Switzerland AMLA Loi fédérale concernant la lutte contre le blanchiment d'argent et le financement du terrorisme A-31-01 AMLO Ordonnance sur la lutte contre le blanchiment d'argent et le financement du terrorisme A-31-10 AMLO-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 A-31-20 AOOS AOOS Société anonyme suisse de surveillance ARIF Association romande des intermédiaires financiers ASIP Association suisse des institutions de prévoyance BA Loi fédérale sur les banques et les caisses d'épargne A-03-01 BIO-FINMA Ordinance of the Swiss Financial Market Supervisory Authority on the Insolvency of Banks and Securities Firms A-03-21 BO Ordonnance sur les banques et les caisses d'épargne A-03-10 CAO Ordonnance sur les fonds propres et la répartition des risques des banques et des maisons de titres A-03-11 CCDJP Conférence des directrices et directeurs des départements cantonaux de justice et police CDB 20 Agreement on the Swiss Banks' Code of Conduct with Regard to the Exercise of Due Diligence D-01-20 CFMJ Commission fédérale des maisons de jeu CISA Federal Act on Collective Investment Schemes A-22-01 CISBO-FINMA Ordinance of the FINMA on the Bankruptcy of Collective Investment Schemes A-22-21 CISO Ordinance on Collective Investment Schemes A-22-10 CISO-FINMA Ordinance of the Swiss Financial Market Supervisory Authority on Collective Investment Schemes A-22-20 CPIA Federal Act on Currency and Payment Instruments A-02-02 D-01/2012 Directives D-01/2012 : Agrément des experts en prévoyance professionnelle C-09-10 D-01/2014 Directive D-01/2014 : Habilitation des gestionnaires de fortune actifs dans la prévoyance professionnelle C-09-17 D-01/2016 Directives D-01/2016 : Requirements for Investment Foundations C-09-22 D-01/2017 Directives D-01/2017 : Mesures destinées à résorber les découverts dans la prévoyance professionnelle C-09-25 D-01/2021 Directives D-01/2021 : Exigences de transparence et de contrôle interne pour les institutions de prévoyance en concurrence entre elles C-09-26 D-02/2012 Directives D-02/2012 : Standard des rapports annuels des autorités de surveillance C-09-11 D-02/2013 Directives D-02/2013 : Reporting Asset Management Costs C-09-13 D-02/2016 Directives D-02/2016 : Fonds de bienfaisance visés par l'art. 89a, al. 7, CC C-09-23 D-03/2013 Directives D-03/2013 : Indépendance des experts en matière de prévoyance professionnelle C-09-14 D-03/2014 Directives D-03/2014 : Reconnaissance de directives techniques de la CSEP comme standard minimal C-09-19 D-03/2016 Directives D-03/2016 : L'assurance qualité dans la révision selon la LPP C-09-24 D-04/2013 Directives D-04/2013 : Examen et rapport de l'organe de révision C-09-15 D-04/2014 Directive D-04/2014 : Fondations du pilier 3a et fondations de libre passage C-09-20 D-05/2013 Directives D-05/2013 : Key Information and Additional Disclosure Requirements for Investment Foundations C-09-16 D-05/2014 Directives D-05/2014 : Octroi de prêts hypothécaires ("hypothèques sur son propre immeuble") C-09-21 DAH Directive on Ad hoc Publicity D-11-31 DCG Directive on Information Relating to Corporate Governance D-11-30 DFI Directive Pro-Forma Financial Information (Annex 1, item. 2.8.6 let. c FINSO) C-61-02 DTM Directive on the Disclosure of Management Transactions D-11-32 EmbA Federal Act on the Implementation of International Sanctions A-32-01 FADP Federal Act on Data Protection A-34-01 FAOA Federal Audit Oversight Authority FBO-FINMA Ordinance of the Swiss Financial Market Supervisory Authority on Foreign Banks in Switzerland A-03-20 FDF Federal Department of Finance FDHA Federal Department of Home Affairs FDJP Federal Department of Justice and Police FFA Federal Finance Administration FIAA Federal Act on the Freezing and the Restitution of Illicit Assets Held by Foreign Politically Exposed Persons A-33-01 FINMA Swiss Financial Market Supervisory Authority FINMA Circ. 08/10 Circular 2008/10 : Self-regulation Recognised as a Minimum Standard by the Swiss Financial Market Supervisory Authority B-08-10 FINMA Circ. 08/14 Circular 2008/14: Supervisory Reporting for Annual and Semi-annual Financial Statements in the Banking Sector B-08-14 FINMA Circ. 08/17 Circular 2008/17: Exchange of Information Between SROs and FINMA Regarding Affiliations, Exclusions and Withdrawals of Membership of Financial Intermediaries B-08-17 FINMA Circ. 08/19 Circular 2008/19 : Capital Requirements for Credit Risks at Banks B-08-19 FINMA Circ. 08/20 Circulaire 2008/20 : Exigences de fonds propres relatives aux risques de marché dans le secteur bancaire B-08-20 FINMA Circ. 08/21 Circular 2008/21: Capital Adequacy Requirements and Qualitative Requirements for Operational Risks at Banks B-08-21 FINMA Circ. 08/22 Circular 2008/22: Disclosure Obligations Regarding Capital Adequacy and Liquidity in the Banking Sector B-08-22 FINMA Circ. 08/23 Circular 2008/23: Concretizations on Risk Diversification for Banks B-08-23 FINMA Circ. 08/3 Circular 2008/3 : Commercial Acceptance of Public Deposits by Non-banks under the Banking Act B-08-03 FINMA Circ. 08/4 Circulaire 2008/4 : Journal des valeurs mobilières tenu par les maisons de titres et les participants B-08-04 FINMA Circ. 08/5 Circular 2008/05: Explanations Regarding the Term "Securities Dealer" B-08-05 FINMA Circ. 08/7 Circular 2008/07 : Outsourcing of Business Areas within the Banking Sector B-08-07 FINMA Circ. 09/1 Circular 2009/1: Guidelines for the Recognition of Self-regulation in Asset Management as Minimum Standard B-09-01 FINMA Circ. 10/1 Circular 2010/1: Minimum Standards for Remuneration Schemes of Financial Institutions B-10-01 FINMA Circ. 10/2 Circular 2010/2: Repurchase & Reverse Repurchase Transactions and Securities Lending & Borrowing Transactions (Repo/SLB Transactions) B-10-02 FINMA Circ. 11/1 Circular 2011/1: Explanations on the Anti-Money Laundering Ordinance (AMLO) B-11-01 FINMA Circ. 11/2 Circular 2011/2 : Capital Buffer and Capital Planning in the Banking Sector B-11-02 FINMA Circ. 12/1 Circular 2012/1: Recognition of External Credit Assessment Institutions (Credit Rating Agencies) B-12-01 FINMA Circ. 13/1 Circular 2013/1 : Eligible Capital at Banks for Regulatory Purposes B-13-01 FINMA Circ. 13/3 Appendices 1-22 to FINMA Circular 2013/3: Auditing B-13-03a FINMA Circ. 13/3 Circular 2013/3: Auditing B-13-03 FINMA Circ. 13/5 Circular 2013/5 : Principles for Recording Liquidity Risks and Liquidity Reporting for Insurers B-13-05 FINMA Circ. 13/7 Circular 2013/7 : Limitation of Intragroup Positions for Banks B-13-07 FINMA Circ. 13/8 Circular 2013/8 : Supervisory Rules on Market Conduct in Securities Trading B-13-08 FINMA Circ. 13/9 Circular 2013/9 : Distribution under the Collective Investment Schemes Legislation B-13-09 FINMA Circ. 15/1 Circular 2015/1 : Accounting Rules for Banks, Securities Dealers, Financial Groups and Conglomerates (ARB) B-15-01 FINMA Circ. 15/2 Circular 2015/2 : Qualitative Liquidity Risk Management Requirements and Quantitative Liquidity Requirements B-15-02 FINMA Circ. 15/3 Circular 2015/3 : Calculating the Unweighted Capital Ratio (Leverage Ratio) at Banks B-15-03 FINMA Circ. 16/1 Circular 2016/1 : Regulatory Disclosure Duties B-16-01 FINMA Circ. 16/2 Circular 2016/2 : Principles for the Financial Condition Report B-16-02 FINMA Circ. 16/3 Circular 2016/3 : Basic Principles for Conducting an Own Risk and Solvency Assessment (ORSA) and for Reporting to FINMA B-16-03 FINMA Circ. 16/4 Circular 2016/4 : Supervision, Organisation, Structure, Intra-group Transactions, and Reporting by Insurance Groups and Conglomerates B-16-04 FINMA Circ. 16/5 Circular 2016/5 : Investments Made for Total Assets and for Tied Assets of Insurance Companies B-16-05 FINMA Circ. 16/7 Circular 2016/7 : Due Diligence Requirements for Client Onboarding via Digital Channels B-16-07 FINMA Circ. 17/1 Circular 2017/1 : Corporate Governance, Risk Management and Internal Controls at Banks B-17-01 FINMA Circ. 17/2 Circular 2017/2 : Corporate Governance, Risk Management and Internal Control System at Insurers B-17-02 FINMA Circ. 17/3 Circular 2017/3 : Swiss Solvency Test (SST) B-17-03 FINMA Circ. 17/6 Circular 2017/6 : Direct Transmission of Non-public Information to Foreign Authorities and Entities by Supervised Parties B-17-06 FINMA Circ. 17/7 Circular 2017/7 : Capital Requirements for Credit Risk at Banks B-17-07 FINMA Circ. 18/1 FINMA Circular 2018/1 : Duties of Operators of Organised Trading Facilities (OTFs) B-18-01 FINMA Circ. 18/2 Circular 2018/2 : Duty to Report Securities Transactions B-18-02 FINMA Circ. 18/3 Circular 2018/3 : Outsourcing - Banks, Insurance Companies and Selected Financial Institutions Under FinIA B-18-03 FINMA Circ. 19/1 Circular 2019/1 : Risk Diversification Rules for Banks B-19-01 FINMA Circ. 19/2 Circular 2019/2 : Measurement, Management, Monitoring and Control of Interest Rate Risks in the Banking Book B-19-02 FINMA Circ. 20/1 Circular 2020/1 : Accounting Rules for Banks, Investment Firms, Financial Groups and Conglomerates B-20-01 FINMA Guidance 01/2016 FINMA Guidance 01/2016 : Financial Market Infrastructure Act : FINMA's Next Steps B-04-01 FINMA Guidance 01/2017 FINMA Guidance 01/2017 : Financial Market Infrastructure Act : Deadlines for the Exchange of Collateral B-04-02 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) B-04-07 FINMA Guidance 01/2019 FINMA Guidance 01/2019 : BREXIT: Recognition of UK Derivatives Regulations B-04-11 FINMA Guidance 01/2020 FINMA Guidance 01/2020 : Financial Market Infrastructure Act and Ordinance: Derivatives Trading B-04-15 FINMA Guidance 01/2021 FINMA Guidance 01/2021 : Trading in Swiss Shares : Recognition of Various UK Trading Venues B-04-25 FINMA Guidance 02/2017 FINMA Guidance 02/2017 : Financial Market Infrastructure Act : Reporting Requirements / Trade Repositories B-04-03 FINMA Guidance 02/2018 FINMA Guidance 02/2018 : New Recognition Obligation for Foreign Trading Venues for the Trading of Swiss Equity Securities B-04-08 FINMA Guidance 02/2019 FINMA Guidance 02/2019 : Payments on the Blockchain B-04-12 FINMA Guidance 02/2020 FINMA Guidance 02/2020 : Temporary Exemptions for Banks Due to the COVID-19 Crisis B-04-16 FINMA Guidance 02/2021 FINMA Guidance 02/2021 : Derivative Trading Obligations and Reference Rate Replacement B-04-26 FINMA Guidance 03/2017 FINMA Guidance 03/2017 : New Rules on Public Deposits / Questionnaire on FinTech Licensing B-04-04 FINMA Guidance 03/2018 FINMA Guidance 03/2018 : LIBOR : Risks of Potential Replacement B-04-09 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 B-04-13 FINMA Guidance 03/2020 FINMA Guidance 03/2020: Exemptions for Supervised Institutions Due to the COVID-19 Crisis B-04-17 FINMA Guidance 04/2017 FINMA Guidance 04/2017 : Regulatory Treatment of Initial Coin Offerings B-04-05 FINMA Guidance 04/2018 FINMA Guidance 04/2018 : Recognition of EU Trading Venues for the Trading of Swiss Equity Securities B-04-10 FINMA Guidance 04/2019 FINMA Guidance 04/2019 : Financial Market Infrastructure Ordinance : Exchange of Collateral / Extension of Transitional Period for Equity Options B-04-14 FINMA Guidance 04/2020 FINMA Guidance 04/2020: Exemptions for Supervised Institutions Due to the COVID-19 Crisis B-04-18 FINMA Guidance 05/2017 FINMA Guidance 05/2017 : Financial Market Infrastructure Act : Reporting to a Trade Repository / Extending the Transition Period B-04-06 FINMA Guidance 05/2020 FINMA Guidance 05/2020: Duty to Report Cyber Attacks Pursuant to Article 29 Para. 2 FINMASA B-04-19 FINMA Guidance 06/2020 FINMA Guidance 06/2020: Exemptions for Supervised Institutions Due to the COVID-19 Crisis B-04-20 FINMA Guidance 07/2020 FINMA Guidance 07/2020: Exemptions Relating to Identification Under the Anti-Money Laundering Act Due to the COVID-19 Pandemic B-04-21 FINMA Guidance 08/2020 FINMA Guidance 08/2020: LIBOR Replacement for Derivatives B-04-22 FINMA Guidance 09/2020 FINMA Guidance 09/2020: Financial Market Infrastructure Ordinance: Exchange of Collateral / Further Extension of Transitional Period for Equity Options B-04-23 FINMA Guidance 10/2020 FINMA Guidance 10/2020: LIBOR Transition Roadmap B-04-24 FINMA Newsletter 15 (2010) FINMA-Mitteilung 13: Kollektive Kapitalanlagen - Märkte B-03-13 FINMA Newsletter 15 (2010) FINMA Newsletter 15 : Risks in Business Dealings with Iran B-03-15 FINMA Newsletter 16 (2010) Communication FINMA 16 : Placements collectifs de capitaux - Marchés B-03-16 FINMA Newsletter 23 (2011) Communication FINMA 23 : Placements collectifs de capitaux - Marchés B-03-23 FINMA Newsletter 27 (2011) FINMA-Mitteilung 27: Kollektive Kapitalanlagen und Vertrieb - Märkte B-03-27 FINMA Newsletter 29 (2011) FINMA-Mitteilung 29: Kollektive Kapitalanlagen und Vertrieb - Märkte B-03-29 FINMA Newsletter 31 (2011) FINMA Newsletter 31 : Unauthorised Trading - Banks B-03-31 FINMA Newsletter 33 (2012) Communication FINMA 33 : Placements collectifs de capitaux et distribution - Marchés B-03-33 FINMA Newsletter 34 (2012) Communication FINMA 34 : Gestionnaires de placements collectifs de capitaux - Marchés B-03-34 FINMA Newsletter 35 (2012) Communication FINMA 35 : Gestionnaires de placements collectifs de capitaux - Marchés B-03-35 FINMA Newsletter 39 (2012) Communication FINMA 39 : Placements collectifs de capitaux et distribution - Marchés B-03-39 FINMA Newsletter 40 (2012) Communication FINMA 40 : Placements collectifs de capitaux et distribution - Marchés B-03-40 FINMA Newsletter 49 (2013) Communication FINMA 49 : Produits et distribution - Marchés B-03-49 FINMA Newsletter 51 (2013) Communication FINMA 51 : L'assurance des dommages dus aux événements naturels selon l'art. 33 LSA et l'art. 171 ss OS B-03-51 FINMA Newsletter 52 (2013) FINMA Newsletter 52 : Trading Own Equity Securities with the Purpose of Ensuring Liquidity under the New Provisions on Market Manipulation B-03-52 FINMA Newsletter 53 (2013) FINMA Newsletter 53 : IOSCO Principles for Financial Benchmarks B-03-53 FINMA Newsletter 59 (2014) Communication FINMA 59 : Conséquences prudentielles du Foreign Account Tax Compliance Act (FATCA) B-03-59 FINMA Newsletter 63 (2014) Communication FINMA 63 : Transfert de fonctions essentielles à des intermédiaires par des entreprises d’assurance B-03-63 FINMA-AO Financial Market Audit Ordinance A-01-12 FINMA-AO Ordinance on the Accounting of the Swiss Financial Market Supervisory Authority A-03-22 FINMA-Newsletter 54 (2014) Communication FINMA 54 : Procédure de dispense simplifiée pour les banques suisses dans le cadre d'activités financières transfrontières en Allemagne - Banques B-03-54 FINMASA Federal Act on the Swiss Financial Market Supervisory Authority A-01-01 FINOS Finanzombudsstelle Schweiz FINSO Ordonnance sur les services financiers A-21-10 FINSOM Financial Services Ombudsman FISA Federal Act on Intermediated Securities A-26-01 FMIO Ordonnance sur les infrastructures des marchés financiers et le comportement sur le marché en matière de négociation de valeurs mobilières et de dérivés A-05-10 FTA Federal Tax Administration FinIA Loi fédérale sur les établissements financiers A-04-01 FinIO Ordonnance sur les établissements financiers A-04-10 FinMIA Loi fédérale sur les infrastructures des marchés financiers et le comportement sur le marché en matière de négociation de valeurs mobilières et de dérivés A-05-01 FinMIO-FINMA Ordinance of the Swiss Financial Market Supervisory Authority on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading A-05-20 FinSA Loi fédérale sur les services financiers A-21-01 LR Listing Rules D-11-10 LiqO Ordinance on the Liquidity of Banks and Investment Firms A-03-12 MROSO Ordonnance sur le Bureau de communication en matière de blanchiment d'argent A-31-11 NBA Loi fédérale sur la Banque nationale suisse A-02-01 NBO Ordinance to the Federal Act on the Swiss National Bank A-02-11 OAD FCT Organismo di autodisciplina dei fiduciari del Cantone Ticino OAR-G Organisme d'autorégulation des gérants de patrimoine OAR/ASSL Selfregulation Organisation of the Association suisse des sociétés de leasing OFD Ombudsman Financial Services Providers OFS Ombud Finance Switzerland OIS Organe de médiation indépendant suisse SA OPSC Occupational Pension Supervisory Commission OSFIN Organisation de surveillance financière OSIF Organisme de surveillance des instituts financiers R-TOB Regulations of the Takeover Board C-05-01 SAAM Swiss Association of Asset Managers SAIC Swiss Association of Investment Companies SAIFA Swiss Association of Independent Financial Advisors SAM Swiss Association of Wealth Managers SATC Swiss Association of Trust Companies SAV Swiss Association of Actuaries SBA Swiss Bankers Association SCAI Swiss Chambers' Arbitration Institution SECO State Secretariat for Economic Affairs SER SIX Exchange Regulation Ltd SESTA Swiss Federal Act on Stock Exchanges and Securities Trading A-06-01 SESTO Ordinance on Stock Exchanges and Securities Trading A-06-10 SFAA Swiss Financial Analysts Association SFAMA Swiss Funds & Asset Management Association SIA Swiss Insurance Association SIBA Swiss Insurance Brokers Association SNB Swiss National Bank SO-FIT Supervisory Organisation for Financial Intermediaries & Trustees SRO-SIA Self-Regulatory Organisation of the Swiss Insurance Association SSPA Swiss Structured Products Association SwissHoldings Federation of Industrial and Service Groups in Switzerland TAAA Federal Act on International Administrative Assistance in Tax Matters A-35-10 TOB Swiss Takeover Board TOB Circular No. 1 TOB Circular No. 1: Buyback Programmes C-05-11 TOB Circular No. 2 TOB Circular No. 2 : Liquidity in the Context of Takeover Law C-05-12 TOB Circular No. 3 TOB Circular No. 3 : Review of Public Takeover Offers C-05-13 TOB Circular No. 4 TOB Circular No. 4 : Communication to Major Media C-05-14 TOB Circular No. 5 TOB Circular No. 5 : Restructuring Exemption / Restructuring Plan of the Target Company C-05-15 TOO Ordonnance de la Commission des OPA sur les offres publiques d'acquisition A-05-30 VQF Financial Services Standards Association zhaw zhaw School of Management and Law