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Where necessary, FINMA enforces supervisory law using coercive measures under administrative law. Find out about its powers, approach and measures for dealing with violations of the law here. Laupenstrasse 27 , Bern. Home Media Jobs Contact. News FAQs Documents 0. Engaging in financial market activity requires authorisation. If the legal requirements are met, authorisation is granted.

Getting authorised Authorisation Types of authorisation Banks and securities dealers Insurers Institutions and products subject to the Collective Investment Schemes Act Insurance intermediaries Self-regulatory organisations SROs Directly subordinated financial intermediaries DSFIs Financial market infrastructures and foreign market participants Rating agencies FinTech.

These companies are not authorised and may be engaging in financial market activity without the requisite licence.

Our approach to supervision. It also uses private audit companies to extend its reach. Information about supervision of… Our approach to supervision Cross-sector issues Banks and securities dealers Insurers Institutions and products subject to the Collective Investment Schemes Act Self-regulatory organisations SROs Directly subordinated financial intermediaries Financial market infrastructures Central mortgage bond institutions.

Risk categories in the banking sector FINMA assigns banks to different risk categories. Enforcement topics All about Enforcement Licence holders Unauthorised activities Market supervision Enforcement tools Liquidation, resolution and bankruptcy National and international cooperation Rights and obligations.

This is a list of companies and individuals that may be operating without the requisite FINMA authorisation. FINMA reports in detail on the fulfilment of its aims. Financial Market Supervision Act The legal basis for FINMA as an authority, setting out its tasks and powers.

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FINMA — an overview. As an independent supervisor of the Swiss financial market, FINMA is institutionally, functionally and financially independent.

FINMA — an overview Supervisory objectives Organisation Working at FINMA Activities Auditing FINMA mandataries National cooperation International activities. FINMA accounts for its supervisory activities in its annual report and annual financial statements. Home FINMA Public Warning list Swiss Bank FX. Swiss Bank FX Warning list Warnings FINMA briefly explained Questions and answers Fact sheets Investment fraud Financial literacy Authorised institutions, individuals and products Reporting information Abbreviations Glossary.

Authorisation Authorisation Types of authorisation Banks and securities dealers Insurers Institutions and products subject to the Collective Investment Schemes Act Insurance intermediaries Self-regulatory organisations SROs Directly subordinated financial intermediaries DSFIs Financial market infrastructures and foreign market participants Rating agencies FinTech.

Supervision Our approach to supervision Cross-sector issues Banks and securities dealers Insurers Institutions and products subject to the Collective Investment Schemes Act Self-regulatory organisations SROs Directly subordinated financial intermediaries Financial market infrastructures Central mortgage bond institutions.

Enforcement All about Enforcement Licence holders Unauthorised activities Market supervision Enforcement tools Liquidation, resolution and bankruptcy National and international cooperation Rights and obligations. FINMA FINMA — an overview Supervisory objectives Organisation Working at FINMA Activities Auditing FINMA mandataries National cooperation International activities FINMA Public Authorised companies Warnings Reporting information.

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