| FINMA-Circ. |
Date |
Short Title |
Title |
|
| FINMA-Circ. 12/1 |
29.06.11 |
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 |
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 |
Repo/SLB transactions |
Repurchase & reverse repurchase transactions and securities lending & borrowing transactions (Repo/SLB transactions) |
|
| FINMA-Circ. 10/1 |
21.10.09 |
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 |
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 |
20.11.08 |
Audit matters |
Limited continued application of the Circulars of the Swiss Federal Banking Commission, the Federal Office of Private Insurance and the Anti-Money Laundering Control Authority with regard to 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 |
Internal audit – insurers |
Internal audit within the insurance sector |
|
| FINMA-Circ. 08/34 |
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 |
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 |
Supervision and internal control – banks |
Supervision and internal control within the banking sector |
|
| FINMA-Circ. 08/23 |
20.11.08
(amended 17.11.10) |
Risk diversification – banks |
Risk diversification within the banking sector |
|
| FINMA-Circ. 08/22 |
20.11.08
(amended 17.11.10) |
Capital adequacy disclosure – banks |
Disclosure obligations regarding capital adequacy in the banking sector |
|
| FINMA-Circ. 08/21 |
20.11.08 |
Operational risks – banks |
Capital adequacy requirements for operationial risks within the banking sector |
|
| FINMA-Circ. 08/20 |
20.11.08
(amended 17.11.10, 22.12.10) |
Market risks – banks |
Capital adequacy requirements for market risks within the banking sector |
|
| FINMA-Circ. 08/19 |
20.11.08 (amended 17.11.10) |
Credit risks – banks |
Capital adequacy requirements for credit risks within the banking sector
Mapping
Mapping SA-CH und SA-BIZ
Mapping IRB |
|
| FINMA-Circ. 08/18 |
20.11.08 |
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 |
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 09.09.11) |
Disclosure requirements for securities transactions |
Disclosure requirements for securities transactions |
|
| FINMA-Circ. 08/10 |
20.11.08
(amended
01.02.12) |
Self-regulation as a minimum standard |
Self-regulation recognised as a minimum standard by the Swiss Financial Market Supervisory Authority |
|
| FINMA-Circ. 08/9 |
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 |
Outsourcing – banks |
Outsourcing of business areas within the banking sector |
|
| FINMA-Circ. 08/6 |
20.11.08 |
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
04.03.11) |
Accounting – banks |
Guidelines on accounting standards under art. 23 to 27 of the Banking Ordinance |
|
| FINMA-Circ. 08/1 |
20.11.08
(amended
01.01.09) |
Authorisation and notification requirements – banks |
Matters requiring authorisation and notification for stock exchanges, banks, securities dealers and audit firms |
|