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FINMA recognizes certain self-regulatory standards as a minimum standard. These standards must be respected by all players in the sector.

Self-regulation recognised as minimum standard by FINMA

B-08-10 FINMA Circ. 08/10 Circular 2008/10 : Self-regulation Recognised as a Minimum Standard by the Swiss Financial Market Supervisory Authority
Status as of 18 Jul 2018 Abrogated act FINMA
D-01-01 Guidelines for the Management of Country Risk
Status as of 31 Dec 1997 Swiss Bankers Association (SBA) Risk management
D-01-03 Directives Governing the Allocation of Equity-related Securities Offered by Way of a Public Offering in Switzerland
Status as of 1 Jan 2005 Former version Swiss Bankers Association (SBA) Securities trading
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-01-06 Code of Conduct for Securities Dealers Governing Securities Transactions
Status as of 1 Jul 2009 Abrogated act Swiss Bankers Association (SBA) Securities trading
D-01-07 Recommendations for Business Continuity Management (BCM)
Status as of 1 Oct 2013 Abrogated act Swiss Bankers Association (SBA)
D-01-09 Guidelines on the Duty to Keep Documentary Records According to Section 24(3) CISA (Collective Investment Schemes Act)
Status as of 29 Apr 2015 Abrogated act Swiss Bankers Association (SBA)
D-01-11 Directives relatives aux exigences minimales pour les financements hypothécaires
Status as of 1 Sep 2014 Former version Swiss Bankers Association (SBA)
D-01-11 Directives relatives aux exigences minimales pour les financements hypothécaires
Status as of 1 Jan 2020 Former version 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-01-12 Directives concernant l'examen, l'évaluation et le traitement des crédits garantis par gage immobilier
Status as of 1 Sep 2014 Former version Swiss Bankers Association (SBA) Credit
D-01-12 Directives concernant l'examen, l'évaluation et le traitement des crédits garantis par gage immobilier
Status as of 1 Jan 2020 Former version 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) Dormant assets
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 Jan 2015 Former version Swiss Bankers Association (SBA) Dormant assets
D-01-14 Guidelines on Informing Investors about Structured Products
Status as of 1 Mar 2015 Abrogated act Swiss Bankers Association (SBA), Swiss Structured Products Association Investor disclosures Structured products
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 Mar 2017 Former version Swiss Bankers Association (SBA) Wealth management
D-01-20 CDB 16 Agreement on the Swiss Banks' Code of Conduct with Regard to the Exercise of Due Diligence
Status as of 1 Jan 2016 Former version Swiss Bankers Association (SBA) Beneficial owner
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) Beneficial owner
D-03-01 Agreement by Swiss Banks and Securities Firms on Deposit Insurance (Agreement between esisuisse and Its Members)
Status as of 3 Jun 2020 Former version esisuisse Deposit guarantee
D-03-01 Agreement on Self-regulation for the Deposit Insurance Scheme
Status as of 1 Jan 2023 esisuisse Deposit guarantee
D-03-01 Agreement by Swiss Banks and Securities Dealers on Deposit Insurance (Agreement between esisuisse and Its Members)
Status as of 30 Jun 2017 Former version esisuisse Deposit guarantee
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 Insurance
D-07-01 Code of Conduct of the Swiss Funds & Asset Management Association SFAMA
Status as of 1 Jan 2015 Former version Swiss Funds & Asset Management Association Collective investment schemes
D-07-01 Asset Management Association Switzerland Code of Conduct
Status as of 1 Jan 2022 Asset Management Association Switzerland Collective investment schemes
D-07-10 Guidelines on the Distribution of Collective Investment Schemes
Status as of 1 Jul 2014 Abrogated act Swiss Funds & Asset Management Association Collective investment schemes
D-07-20 Directives concernant le document d'«Informations clés pour l'investisseur» en matière de fonds en valeurs mobilières et autres fonds en placements traditionnels, sous la forme de fonds ouverts au public
Status as of 1 Feb 2012 Abrogated act Asset Management Association Switzerland Collective investment schemes
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 Collective investment schemes
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 Jul 2016 Former version Swiss Funds & Asset Management Association Collective investment schemes
D-07-31 Guidelines on the Calculation and Publication of Performance Data of Collective Investment Schemes
Status as of 1 Jul 2008 Former version Swiss Funds & Asset Management Association Collective investment schemes
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 Collective investment schemes
D-07-32 Guidelines on Duties Regarding the Charging and Use of Fees and Costs (Transparency Guidelines)
Status as of 1 Jul 2014 Abrogated act Swiss Funds & Asset Management Association Collective investment schemes
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 Collective investment schemes
D-07-33 Guidelines on the Calculation and Disclosure of the Total Expense Ratio (TER) of Collective Investment Schemes
Status as of 1 Jun 2015 Former version Swiss Funds & Asset Management Association Collective investment schemes
D-07-50 Guidelines for Money Market Funds
Status as of 1 Jan 2022 Asset Management Association Switzerland Collective investment schemes
D-07-50 Guidelines for Money Market Funds
Status as of 1 Jan 2017 Former version Swiss Funds & Asset Management Association Collective investment schemes
D-07-60 Guidelines for Real Estate Funds
Status as of 1 Jan 2022 Asset Management Association Switzerland Collective investment schemes
D-07-60 Guidelines for Real Estate Funds
Status as of 1 Dec 2016 Former version Swiss Funds & Asset Management Association Collective investment schemes
D-34-02 NCGP Norme di comportamento nell'ambito della gestione patrimoniale
Status as of 1 Jan 2014 Abrogated act Organismo di autodisciplina dei fiduciari del Cantone Ticino Insurance Money laundering
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 2020 Former version Self-Regulatory Organisation of the Swiss Insurance Association Insurance Money laundering
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 Insurance Money laundering
D-36-01 Règlement de l'OAR-Fiduciaire|Suisse
Status as of 1 Jan 2020 Former version OAR-Fiduciaire/Suisse Money laundering
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 Jan 2020 Former version Organisme d’autoréglementation de la Fédération suisse des avocats et de la Fédération suisse des notaires Money laundering
D-39-02 PolyReg General Self-Regulatory Organisation Code of Professional Conduct
Status as of 1 Jan 2014 Abrogated act PolyReg General Self-Regulatory Organisation Wealth management
D-41-03 Rules of Conduct of the Industry Organisation for Asset Management of the VQF regarding the Practice of Asset Management
Status as of 1 Jan 2014 Abrogated act Financial Services Standards Association Wealth management
D-42-02 Règlement de l'OAR-G relatif aux règles-cadres pour la gestion de fortune
Status as of 7 Nov 2013 Abrogated act Organisme d'autorégulation des gérants de patrimoine Wealth management
D-71-03 PH 70 Schweizer Prüfungshinweis 70: Aufsichtsprüfung
Status as of 29 Jan 2020 ExpertSuisse
D-77-01 Code suisse de conduite relatif à l'exercice de la profession de gérant de fortune indépendant
Status as of 1 Aug 2017 Abrogated act Swiss Association of Asset Managers Wealth management
D-77-02 Règlement sur la prévention et la lutte contre le blanchiment d'argent et le financement du terrorisme
Status as of 1 Jan 2017 Abrogated act Swiss Association of Asset Managers Money laundering
D-78-01 Normes minimales relatives à la formation initiale et continue des intermédiaires d'assurance selon l'art. 43 LSA
Status as of 1 Oct 2024 Insurance Industry Vocational Training Association Insurance

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On June 28, 2022, the Swiss Bankers Association (SBA) published two self-regulatory guidelines on sustainable finance for its members. The first guideline concerns the integration of ESG preferences and risks by financial service providers (providers) in their investment advisory and asset management activities. The second directive is aimed at mortgage providers, who are required to address the issue of energy efficiency and the preservation of the long-term value of buildings when granting financing. The present commentary is limited to presenting[...]
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