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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

D-01-01 Guidelines for the Management of Country Risk
Status as of 31 Dec 1997 Swiss Bankers Association (SBA) Risk management
D-01-05 Directives on the Independence of Financial Research
Status as of 1 Feb 2018 Swiss Bankers Association (SBA)
D-01-07 Recommendations for Business Continuity Management (BCM)
Status as of 1 Oct 2013 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-01-14 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-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-07-10 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-07-50 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 Dec 2016 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-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-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-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