In addition to the direct supervision by FINMA in the fight against money laundering and terrorist financing, the Anti-Money Laundering Act (AMLA) also provides for the indirect supervision of certain financial intermediaries by self-regulatory organisations (SROs).
The task of the SROs is to draw up the regulations governing implementation of the obligations under the AMLA and to ensure that the institutions affiliated to them comply with their obligations. The SROs themselves are subject to supervision by FINMA, which is therefore responsible for recognising or withdrawing recognition from SROs, approving regulations and ensuring that the SROs actually enforce their implementation. FINMA can conduct on-site checks at an SRO or instruct an audit firm to carry out the checks on its behalf. In its third round of mutual evaluations of member countries, the Financial Action Task Force (FATF) assessed the Swiss system of self-regulation in the area of anti-money laundering to be appropriate and comparable to a system of state regulation.
| List of self-regulatory organisations subject to FINMA supervision |
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1.
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VQF Verein zur Qualitätssicherung von Finanzdienstleistungen
Baarerstrasse 112
Postfach
CH-6302 Zug
Tel. +41 41 763 28 20
Fax +41 41 763 28 23
www.vqf.ch
info@vqf.ch
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2.
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Die Schweizerische Post
Selbstregulierungsorganisation
Helvetiastrasse 17
CH-3030 Bern
Tel. +41 58 338 09 50
Fax +41 58 338 37 66
sro@sro.post.ch
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3.
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Schweizerische Bundesbahnen SBB
SRO SBB
c/o Revision
Parkterrasse 14
CH-3000 Bern 65
Tel. 0512 20 27 88
Fax 0512 20 44 94
sro.sbb@sbb.ch
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4.
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Verband Schweizerischer Vermögensverwalter (VSV)
Bahnhofstrasse 35
CH-8001 Zürich
Tel. +41 44 228 70 10
Fax +41 44 228 70 11
www.vsv-asg.ch
info@vsv-asg.ch
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5.
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Organismo di Autodisciplina dei Fiduciari del Cantone Ticino (OAD FCT)
Piazza Cioccaro 7
Postfach 6164
CH-6901 Lugano
Tel. +41 91 923 98 14
Fax +41 91 922 94 40
http://www.oadfct.ch/
segretariato@oadfct.ch
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6.
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Selbstregulierungsorganisation des Schweizerischen Anwaltsverbandes und des Schweizerischen Notarenverbandes (SRO SAV/SNV)
Marktgasse 4
CH-3011 Bern
Tel. +41 31 313 06 00
Fax +41 31 313 06 01
http://www.sro-sav-snv.ch/
sro.sav.snv@swisslawyers.com
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7.
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Association Romande des Intermédiaires Financiers (ARIF)
8, Rue de Rive
CH-1204 Genf
Tel. +41 22 310 07 35
Fax +41 22 310 07 39
http://www.arif.ch/
info@arif.ch
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8.
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Schweizerischer Leasingverband (SLV)
Rämistrasse 5
Postfach
CH-8024 Zürich
Tel. +41 44 250 49 90
Fax +41 44 250 49 99
http://www.leasingverband.ch/
info@leasingverband.ch
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9.
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PolyReg Allg. Selbstregulierungs-Verein
Florastrasse 44
CH-8008 Zürich
Tel. +41 43 488 52 80
Fax +41 43 499 80 56
http://www.polyreg.ch/
info@polyreg.ch
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10.
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OAR-G Organisme d'autorégulation fondé par le GSCGI et GPCGFG
2, rue Pedro-Meylan
Postfach 107
CH-1211 Genf 17
Tel. +41 22 700 73 20
Fax +41 22 700 73 24
http://www.oarg.ch/
secretariat@oarg.ch
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11.
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SRO-TREUHAND | SUISSE
Monbijoustrasse 20
Postfach
CH-3001 Bern
Tel. + 41 31 380 64 80
Fax + 41 31 380 64 31
http://www.sro-treuhandsuisse.ch/
sro@treuhandsuisse.ch
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