| FINMA-Circ. |
Date |
Short Title |
Title |
|
| FINMA-Circ. 13/6 |
06.12.12(amended 01.01.13) |
Liquidity – banks |
Reporting requirements for short-term liquidity coverage ratio and qualitative requirements for liquidity risk management |
|
| FINMA-Circ. 13/5 |
05.12.12 |
Liquidity – insurers |
Basic principles for recording liquidity risks and liquidity reporting for insurers |
|
| FINMA-Circ. 13/4 |
06.12.12 |
Audit firms and lead auditors |
Audit firms and lead auditors |
|
| FINMA-Circ. 13/3 |
06.12.12 |
Auditing |
Auditing
Documents pertaining to the Auditing Circular
(Standard audit strategies for fund management companies, asset managers, representatives of foreign collective investment schemes, SICAVs, SICAFs, limited partnerships for collective investments and custodian banks will be brought in line with the provisions of the revised Collective Investment Schemes Act (CISA) and the associated Collective Investment Schemes Ordinance (CISO), and will be published once said legislation comes into force.) |
|
| FINMA-Circ. 13/2 |
06.12.12 |
Adjustments to the Swiss Solvency Test |
Temporary adjustments to the Swiss Solvency Test (SST) |
|
| FINMA-Circ. 13/1 |
01.06.12
(amended 06.12.12) |
Eligible equity capital – banks |
Eligible equity capital under supervisory law in the banking sector |
|
| FINMA-Circ. 12/1 |
29.06.11
(amended 01.06.12) |
Credit rating agencies |
Recognition of institutions that assess creditworthiness (credit rating agencies) |
 |
| FINMA-Circ. 11/3 |
30.06.11 |
Provisions in reinsurance |
Technical provisions in reinsurance |
|
| FINMA-Circ. 11/2 |
30.03.11
(amended 01.01.13) |
Capital buffer and capital planning – banks |
Capital buffer and capital planning in the banking sector |
|
| FINMA-Circ. 11/1 |
20.10.10 |
Financial intermediation under AMLA |
Additional information on the Ordinance on the Professional Practice of Financial Intermediation |
|
| FINMA-Circ. 10/3 |
18.03.10 |
Health insurance under ISA |
Supplementary social health insurance and special issues in relation to private health insurance |
|
| FINMA-Circ. 10/2 |
17.12.09
(amended 01.01.13) |
Repo/SLB transactions |
Repurchase & reverse repurchase transactions and securities lending & borrowing transactions (Repo/SLB transactions) |
|
| FINMA-Circ. 10/1 |
21.10.09
(amended 01.06.12) |
Remuneration schemes |
Minimum standards for remuneration schemes of financial institutions |
|
| FINMA-Circ. 09/1 |
18.12.08 |
Guidelines on asset management |
Guidelines for the recognition of self-regulation in asset management as minimum standard |
|
| FINMA-Circ. 08/44 |
28.11.08
(amended 01.06.12) |
SST |
Swiss Solvency Test (SST) |
|
| FINMA-Circ. 08/43 |
20.11.08 |
Technical provisions – life insurance |
Technical provisions in life insurance |
|
| FINMA-Circ. 08/42 |
20.11.08 |
Technical provisions – non-life insurance |
Technical provisions in non-life insurance |
|
FINMA-Circ. 08/41
(replaced by FINMA-Circ. 13/3 and 13/4; this document is considered as transition to complete the last supervisory periods of banks, collective investment schemes and DSFIs (AML Control Authority-Circ. 2004/1 and 2005/1 are excepted) |
20.11.08 |
Audit matters |
|
|
| FINMA-Circ. 08/40 |
20.11.08 |
Life insurance |
Life insurance |
|
| FINMA-Circ. 08/39 |
20.11.08 |
Unit-linked life insurance |
Unit-linked life insurance |
|
| FINMA-Circ. 08/38 |
20.11.08
(amended
26.11.08) |
Market conduct rules |
Market conduct rules for the securities market |
 |
| FINMA-Circ. 08/37 |
20.11.08 |
Delegation by fund management companies / SICAVs |
Delegation of tasks by fund management companies and SICAVs |
|
| FINMA-Circ. 08/36 |
20.11.08 |
Financial reporting – occupational pension schemes |
Financial reporting within the framework of occupational pension schemes |
|
| FINMA-Circ. 08/35 |
20.11.08
(amended 06.12.12) |
Internal audit – insurers |
Internal audit within the insurance sector |
|
FINMA-Circ. 08/34
(replaced by FINMA-Circ. 13/1) |
20.11.08 |
Core capital – banks |
Determining regulatory capital in the banking sector using internationally accepted accounting standards |
|
| FINMA-Circ. 08/33 |
20.11.08 |
Capital requirement – reinsurance captives |
Risk-based capital requirement of reinsurance captives |
|
| FINMA-Circ. 08/32 |
20.11.08 |
Corporate governance – insurers |
Corporate governance, risk management and the internal control system within the insurance sector |
|
| FINMA-Circ. 08/31 |
20.11.08
(amended 06.12.12) |
Insurance group reports |
Business report for insurance groups and insurance conglomerates |
|
| FINMA-Circ. 08/30 |
20.11.08 |
Solvency I – insurance groups |
Solvency I for insurance groups and insurance conglomerates
Appendix 1
Appendix 2 |
|
| FINMA-Circ. 08/29 |
20.11.08 |
Internal business transactions – insurance groups |
Reporting on internal business transactions of insurance groups and insurance conglomerates |
|
| FINMA-Circ. 08/28 |
20.11.08 |
Structure – insurance groups |
Reporting on the structure of insurance groups and insurance conglomerates |
|
| FINMA-Circ. 08/27 |
20.11.08 |
Organization – insurance groups |
Reporting on the organization of insurance groups and insurance conglomerates |
|
FINMA-Circ. 08/26
(replaced by FINMA-Circ. 12/1) |
20.11.08 |
Rating agencies |
Recognition of rating agencies for the assessment of capital adequacy requirements |
|
| FINMA-Circ. 08/25 |
20.11.08 |
Reporting obligation – insurers |
Independent obligation of insurance companies to report all events of supervisory relevance |
|
| FINMA-Circ. 08/24 |
20.11.08
(amended 06.12.12) |
Supervision and internal control – banks |
Supervision and internal control within the banking sector |
|
| FINMA-Circ. 08/23 |
20.11.08
(amended 01.06.12) |
Risk diversification – banks |
Risk diversification within the banking sector
(previous version as per 31.12.2012 (in German)) |
|
| FINMA-Circ. 08/22 |
20.11.08
(amended 01.01.13) |
Capital adequacy disclosure – banks |
Disclosure obligations regarding capital adequacy in the banking sector |
|
| FINMA-Circ. 08/21 |
20.11.08
(amended 01.06.12) |
Operational risks – banks |
Capital adequacy requirements for operationial risks within the banking sector |
|
| FINMA-Circ. 08/20 |
20.11.08
(amended 01.06.12) |
Market risks – banks |
Capital adequacy requirements for market risks within the banking sector
(previous version as per 31.12.2012 (in German)) |
|
| FINMA-Circ. 08/19 |
20.11.08 (amended
30.10.12) |
Credit risks – banks |
Capital adequacy requirements for credit risks within the banking sector (in German)
(previous version as per 31.12.2012 (in German))
Mapping
Mapping SA-CH und SA-BIZ
Mapping IRB |
|
| FINMA-Circ. 08/18 |
20.11.08
(amended 06.12.12) |
Investment guideline – insurers |
Investment guideline for tied assets and the use of derivative financial instruments by insurers |
|
| FINMA-Circ. 08/17 |
20.11.08
(amended
20.10.10) |
Exchange of information between SROs and FINMA |
Exchange of information between SROs and FINMA regarding affiliations, exclusions and withdrawals of membership of financial intermediaries |
|
| FINMA-Circ. 08/16 |
20.11.08 |
Responsible actuary |
Requirements applying to responsible actuaries |
|
| FINMA-Circ. 08/15 |
20.11.08 |
Mergers – health insurance companies |
Mergers, demergers, conversions, and transfers of assets and liabilities by health insurance companies under the Health Insurance Act in relation to supplementary health insurance under the Insurance Contracts Act |
|
| FINMA-Circ. 08/14 |
20.11.08
(amended 06.12.12) |
Supervisory reporting – banks |
Supervisory reporting for annual and semi-annual financial statements within the banking sector |
|
| FINMA-Circ. 08/13 |
20.11.08 |
Tariffication risk insurance – occupational pension schemes |
Tariffication of life insurance in case of death and disability within the framework of occupational pension schemes |
|
| FINMA-Circ. 08/12 |
20.11.08 |
Revolving-door principle – occupational pension schemes |
Surrender terms of occupational pension schemes in business plans and General Insurance Conditions |
|
| FINMA-Circ. 08/11 |
20.11.08
(amended 06.12.12) |
Disclosure requirements for securities transactions |
Disclosure requirements for securities transactions |
|
| FINMA-Circ. 08/10 |
20.11.08
(amended 16.05.13) |
Self-regulation as a minimum standard |
Self-regulation recognised as a minimum standard by the Swiss Financial Market Supervisory Authority |
|
FINMA-Circ. 08/9
(abrograted by 31.07.12) |
20.11.08 |
Supervision of large banks |
Supervision of large banks |
|
| FINMA-Circ. 08/8 |
20.11.08 |
Public advertising – collective investment schemes |
Public advertising under the Collective Investment Schemes legislation |
|
| FINMA-Circ. 08/7 |
20.11.08
(amended 06.12.12) |
Outsourcing – banks |
Outsourcing of business areas within the banking sector |
|
| FINMA-Circ. 08/6 |
20.11.08
(amended 06.12.12) |
Interest-rate risks – banks |
Measurement, management and monitoring of interest-rate risks within the banking sector |
|
| FINMA-Circ. 08/5 |
20.11.08 |
Securities dealers |
Explanatory notes regarding definition of securities dealers |
|
| FINMA-Circ. 08/4 |
20.11.08 |
Securities journals |
Maintenance of securities journals by securities dealers |
|
| FINMA-Circ. 08/3 |
20.11.08
(amended
18.01.10) |
Public deposits with non-banks |
Commercial acceptance of public deposits by non-banks under the Banking Act |
|
| FINMA-Circ. 08/2 |
20.11.08
(amended
01.06.12) |
Accounting – banks |
Guidelines on accounting standards under art. 23 to 27 of the Banking Ordinance |
|
| FINMA-Circ. 08/1 |
20.11.08
(amended
01.01.13) |
Authorisation and notification requirements – banks |
Matters requiring authorisation and notification for stock exchanges, banks, securities dealers and audit firms |
|