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Completed


Circular "Liquidity risks banks"
07.07.2014

Draft Circular (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German)

Circular "Accounting – banks"
03.06.2014

Draft circular (in German and French)

Annexes to Circular (in German):
Anhang 1: Tabellarische Übersicht der Bestimmungen des Obligationenrechts und deren Anwendung auf Abschlüsse nach den Schweizer Rechnungslegungsvorschriften für Banken und nach den durch die FINMA anerkannten internationalen Standards
Anhang 2: Details zu den einzelnen Positionen der Bilanz und der Ausserbilanzgeschäfte
Anhang 3: Details zu den einzelnen Positionen der Erfolgsrechnung
Anhang 4: Darstellung des Eigenkapitalnachweises
Anhang 5: Details zu den einzelnen Positionen des Anhangs der Jahresrechnung / Konzernrechnung
Anhang 6: Darstellung der Geldflussrechnung
Anhang 7: Glossar

Amended Circular 08/14 "Supervisory reporting – banks" (in German and French)
Amended Circular 08/21 "Operational risks at banks" (in German and French)
Amended Circular 08/22 "Capital adequacy disclosure – banks" (in German and French)
Amended Circular 13/1 "Eligible equity capital – banks" (in German and French)
Amended Banking Insolvency Ordinance (in German, French and Italian)

Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Circular "Operational risks at banks"
01.10.2013

Draft Circular (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Circular "Public advertising – collective investment schemes"
10.09.2013

Draft Circular (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Circular "Market conduct rules"
05.09.2013

Draft Circular (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Circular "Guidelines on asset management to be revised"
27.06.2013

Draft Circular (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Circular "Limitation intragroup exposure  banks"
25.03.2013

Draft Circular (in German and French)
Appendix to draft circular (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

FINMA Collective Investment Schemes Bankruptcy Ordinance, CISBO-FINMA
19.02.2013

Draft FINMA Collective Investment Schemes Bankruptcy Ordinance (in German and French)
Key points
Explanatory report (in German)
Comments
Consultation report (in German and French)

Circular "Liquidity – banks"
06.12.2012

Draft circular (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Circular "Liquidity - insurers"
05.12.2012

Draft circular (in German and French)
Key points (in German)
Explanatory report (in German)
Comments
Consultation report (in German and French)

Circular "Auditing" and Circular "Audit firms and lead auditors"
13.12.2012

Draft circular "Auditing" (in German and French)

Annexes to Circular 2013/3 at draft stage (in German):
Anhang 1: Standardprüfstrategie - Banken
Anhang 2: Standardprüfstrategie - KAG Fondsleitung
Anhang 3: Standardprüfstrategie - KAG Vermögensverwalter
Anhang 4: Standardprüfstrategie - KAG Vertreter
Anhang 5: Standardprüfstrategie - KAG SICAF
Anhang 6: Standardprüfstrategie - KAG SICAV
Anhang 7: Standardprüfstrategie - KAG KGK (inkl. Komplementär
Anhang 8: Standardprüfstrategie - KAG Depotbank
Anhang 9: Standardprüfstrategie - Versicherungsunternehmen
Anhang 10: Standardprüfstrategie - Versicherungen Gruppen und Konglomerate
Anhang 11: Standardprüfstrategie - DUFI
Anhang 12: Risikoanalyse Banken / KAG
Anhang 13: Risikoanalyse Versicherungen

Draft circular "Audit firms and lead auditors" (in German and French)
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Circular "SST adjustments"
11.12.2012

Draft circular (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

FINMA Insurance Bankruptcy Ordinance, IBO-FINMA
13.11.2012

Draft Insurance Bankruptcy Ordinance FINMA (in German and French)
Key points
Explanatory report (in German)
Comments
Consultation report (in German and French)

Banking Insolvency Ordinance, BIO-FINMA
22.10.2012

Draft FINMA Banking Insolvency Ordinance (in German and French)
Key points
Key points Draft
Explanatory report (in German)
Factsheet
Comments
Consultation report (in German)
  

FINMA Circular 2011/2 "Capital buffer and capital planning – banks"
18.07.2012

Draft circular 2011/2 "Capital buffer and capital planning – banks" (in German and French)
Key points (in German and French)
Comments
Consultation report (in German and French)

FINMA circulars on eligible equity capital, market and credit risks, disclosure and risk diversification
18.07.2012

Draft circular 13/x "Eligible equity capital" (in German and French)
Draft circular 08/19 "Credit risks – banks" (in German and French)
Draft circular 08/20 "Market risks – banks" (in German and French)
Draft circular 08/22 "Capital adequacy disclosure – banks" (in German and French)
Draft circular 08/23 "Risk diversification – banks" (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Discussion paper "Regulation of the production and distribution of financial products to retail clients – status, shortcomings and courses of action"
24.02.2012

FINMA Distribution Report 2010 (in German)
Key points
Comments received
Consultation report (in German)
 

Modification of the FINMA Stock Exchange Ordinance (SESTO-FINMA)
01.11.2011

Draft Modification of the Ordinance (in German and French)
Explanatory report (in German and French)
Comments
Consultation report (in German)

FINMA Circular "Credit Rating Agencies"
25.08.2011

Draft circular
Explanatory report
Comments
Consultation report (in German)
 
FINMA Circular "Provisions in reinsurance"
13.07.2010

Draft circular (in German and French)
Key points
Explanatory report (in German)
Comments
Consultation report (in German)
 

FINMA Circular "Capital buffer and capital planning in the banking sector"
15.04.2011

Discussion paper (in German and French)
Draft Circular
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

Consolidation of the Anti-Money Laundering Ordinances of the FINMA
16.12.2010

Draft Ordinance (in German and French)
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

FINMA Circular "Financial Intermediation"
26.11.2010

Draft circular (in German and French)
Key points
Comments
Consultation report (in German and French)

FINMA Circular "Market and credit risks, capital adequacy disclosure, and risk diversification"
25.11.2010

Draft circular 08/19 "Credit risks – banks" (in German and French)
Draft circular 08/20 "Market risks – banks" (in German and French)
Draft circular 08/22 "Capital adequacy disclosure – banks" (in German and French)
Draft circular 08/23 "Risk diversification – banks" (in German and French)
Key points
Explanatory report (in German and French)
Comments
Consultation report (in German and French)

FINMA Circular "Health insurance under ISA"
27.04.2010

Draft circular (in German and French)
Explanatory report (in German and French)
Key points
Comments
Consultation report (in German)

FINMA Circular "Repo/SLB Transactions"
23.12.2009

Draft circular (in German and French)
Explanatory report (in German and French)
Key points
Comments
Consultation report (in German and French)

Amendments to the Capital Adequacy Ordinance (CAO)
11.11.2009

Draft outlining amendments to the ordinance (in German and French)
Explanatory report (in German and French)
Key points
Comments
Consultation report (in German)

FINMA Circular "Remuneration systems"
11.11.2009

Draft circular
Explanatory report
Comments
Consultation report (in German)

Discussion paper "Incentive systems and conflicts of interest regarding the distribution of financial products" and draft circular "Guidelines on asset management"
15.01.2009

Discussion paper (in German and French, key points in English)
Draft circular (in German and French)
Explanatory Report (in German and French)
Comments
Consultation report (in German or French)