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  Banks / Securities Firms (BEF)
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Legal Department (RD)
Controlling / Logistics (CL)
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Legal Department (RD)

The Legal department is responsible for administrative proceedings against banks and securities dealers (e.g. violation of due diligence requirements), including proceedings concerning licence revocation. In addition, the department is responsible for bankruptcy proceedings and conducts proceedings against persons who carry out any activity which requires licensing under the applicable supervisory legislation without permission. The Legal department coordinates the SFBC's regulatory activities and manages individual regulatory projects regarding laws, ordinances or SFBC circulars. On top of this it coordinates the SFBC's supervisory activities in relation to the Money Laundering Act and its international activities. In addition, the Legal department provides administrative assistance for foreign supervisory authorities.

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