Banks and securities dealers

Guidelines and reporting forms for banks and securities dealers

A number of guidelines and forms are available to assist banks and securities dealers in preparing licence applications and help institutions that already hold a licence comply with the various reporting obligations and implement efficient working practices.

Guidelines for licence applications
Banks and securities dealers (in German and French)
Branches and representative offices of foreign banks and securities dealers in Switzerland (in German and French)

Reporting of concentrations of risk
Reporting form for concentrations of risk (Excel-Sheet in German, PDF in German) [Art. 95 - 123 CAO]
Reporting form for concentrations of risk (Excel-Sheet in German, PDF in German) [Art. 83 - 112 CAO(old)]

Declaration of the holders of qualified or principal participations (Art. 3 para. 2 lit. cbis BA, Art. 10 para. 2 lit. d SESTA)
Declaration of the holders of qualified or principal participations (to be completed by the bank or securities dealer)
Annexed sheet to the declaration of the holders of qualified or principal participations (to be completed by the bank or securities dealer)
Declaration by qualified or principal participant in the case of direct participations (to be completed by the participant)
Declaration by qualified or principal participant in the case of indirect participations (to be completed by the participant)

Application for money laundering supervision for group companies
Guidelines for license applications for money laundering supervision by the FINMA in accordance with Art. 4 para. 1 AMLO-FINMA (in German and French)

Establishing a physical presence abroad - preliminary reporting requirements
Guidelines on preliminary reporting requirements for establishing a physical presence abroad