| FINMA-Circ. |
Date |
Short Title |
Title |
|
| FINMA-RS 15/3 |
29.10.14 |
Leverage Ratio |
Calculation of unweighted leverage ratio – banks (in German and French) |
|
| FINMA-Circ. 15/2 |
03.07.14 |
Liquidity risks banks |
Qualitative requirements for liquidity risk management and quantitative requirements for liquidity maintenance (in German and French) |
|
| FINMA-Circ. 15/1 |
27.03.14 |
Accounting – banks |
Accounting guidelines for banks, securities dealers, financial groups and conglomerates (AGB) (in German and French) |
|
| FINMA-Circ. 13/9 |
10.09.13 |
Distribution of collective investment schemes |
Distribution under the Collective Investment Schemes legislation (in German) |
|
| FINMA-Circ. 13/8 |
05.09.13 |
Market conduct rules |
Supervisory rules for market conduct in securities trading |
 |
| FINMA-Circ. 13/7 |
29.05.13 |
Limitation intragroup exposure – banks |
Limitation of intragroup positions – banks (in German)
Appendix to FINMA Circular 2013/7 (in German) |
|
FINMA-Circ. 13/6
(replaced by FINMA-Circ. 15/2) |
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 |
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(amended 28.11.14) |
Auditing |
Auditing
Documents pertaining to the Auditing Circular (in German) |
|
| 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 27.03.14) |
Eligible equity capital – banks |
Eligible equity capital under supervisory law in the banking sector (in German and French) |
|
| FINMA-Circ. 12/1 |
29.06.11
(amended 01.06.12), valid until 31.12.14 |
Credit rating agencies |
Recognition of institutions that assess creditworthiness (credit rating agencies) |
|
| FINMA-Circ. 12/1 |
29.06.11
(amended 24.10.14), valid from 01.01.15 |
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
(amended 30.05.13) |
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) |
20.11.08 |
Audit matters |
|
|
| FINMA-Circ. 08/40 |
20.11.08
(amended 28.08.13) |
Life insurance |
Life insurance |
|
| FINMA-Circ. 08/39 |
20.11.08
(amended 28.08.13) |
Unit-linked life insurance |
Unit-linked life insurance |
|
FINMA-Circ. 08/38
(replaced by FINMA-Circ. 13/8) |
20.11.08 |
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 18.09.13) |
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 29.10.14) |
Disclosure – banks |
Disclosure obligations regarding capital adequacy in the banking sector (in German and French) |
|
| FINMA-Circ. 08/21 |
20.11.08
(amended 27.03.14) |
Operational risks at banks |
Capital adequacy requirements for operational risks within the banking sector |
|
| FINMA-Circ. 08/20 |
20.11.08
(amended 18.09.13) |
Market risks – banks |
Capital adequacy requirements for market risks within the banking sector (in German and French)
(previous version as per 31.12.2012 (in German)) |
|
| FINMA-Circ. 08/19 |
20.11.08 (amended
18.09.13) |
Credit risks – banks |
Capital adequacy requirements for credit risks within the banking sector (in German and French)
(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 26.06.13) |
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 27.03.14) |
Supervisory reporting – banks |
Supervisory reporting for annual and semi-annual financial statements within the banking sector (in German and French) |
|
| 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 13.09.13) |
Disclosure requirements for securities transactions |
Disclosure requirements for securities transactions |
|
| FINMA-Circ. 08/10 |
20.11.08
(amended 03.12.14) |
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
(replaced by FINMA-Circ. 13/9) |
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 at non-banks |
Commercial acceptance of public deposits by non-banks under the Banking Act |
|
FINMA-Circ. 08/2
(replaced by FINMA-Circ. 15/1) |
20.11.08
(amended
26.06.13) |
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 |
|