Consultations 2003

Here you will find reports and projects which the SFBC publishes for consultation. You can send your comments concerning the following projects to:

Here you will find any comments to the publications for consultation.

December 19, 2003
SFBC is publishing for comment the circular "Reporting duty"
The SFBC decided to issue a circular to clarify open questions of interpretation concerning the correct fullfilment of the duty to report on and off orderbook transactions (exchange transactions). Therefore, the SFBC is publishing for comment a draft of a circular about the "duty to report exchange transactions".
> Covering letter (German or French)
> Draft version SFCB-Circular (German or French)
December 16, 2003
The SFBC is publishing for comment proposed guidelines on market abuse.
The SFBC decided to issue guidelines on market abuse. The SFBC is publishing for comment the said proposed guidelines.
> Covering letter (German or French)
> Draft version SFCB-Circular (German or French)
> Annex (German or French)
December 15, 2003
SFBC launches consultation concerning new payments means and systems
The SFBC intends to add a paragraph 16bis to its Guideline 96/4 in order to clarify that, subject to certain conditions, the acceptance of funds for the provision of payments means or systems will not be considered as accepting deposits from the public.
> Letter of consultation (German or French)
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Consultation on two proposals modifying the SESTO-SFBC and the O-TB
The SFBC has drafted two proposals modifying the Ordinances concerning takeovers and disclosure of shareholdings. The SFBC has taken into account the extensive practice developed since the entry into force of the Ordinances on 1 January 1998.
> Letter of consultation (GermanFrench)
> Proposal modifying the SESTO-SFBC (GermanFrench)
> Proposal modifying the O-TB (German - French)
September 11, 2003
SFBC puts out five audit circulars for comment
The SFBC today publishes the draft versions of five circulars relating to the audit process. The SFBC-Circular "Auditing" describes the object and procedure of the annual auditing of banks and securities dealers on an individual and group basis. The form and content of audit reporting is governed by the SFBC-Circular "Audit Report", which is to replace the currently valid SFBC-Circular 96/3 Audit Report. The SFBC-Circular "Audit Companies" sets out the details of the recognition of audit companies and leading auditors as well as of the independence, supervision, appointment and changing of audit companies. Finally, the SFBC-Circular "Big Bank Supervision" describes the reporting requirements of the big banks, the regular contact between the big banks and the SFBC, direct audits and in-depth audits. The SFBC-Circular "Self-Regulation" contains minimum standards and defines the rules and codes of conduct drawn up within the context of self-regula tion and recognized by the SFBC as binding minimum standards.
> Covering letter (German only)
> Draft version SFBC-Circular Audit (German / French) , Annex I (German / French) - Annex II (German / French)
> Draft version SFBC-Circular Audit Report (German / French), Annex I (German / French ) - Annex II (German / French) - Annex III (German / French)
> Draft version SFBC-Circular Audit Companies ( German / French), Annex I (German / French) - Annex II (German / French) - Annex IIIa (German / French) - Annex IIIb (German / French) - Annex IV (German / French) - Annex V (German / French)
> Draft version SFBC-Circular Big Bank Supervision (German / French), Annex I (German / French)
> Draft version SFBC-Circular Self-Regulation (German / French), Annex I (German / French)
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May 5, 2003
Intangibles: Consultation on a partial revision of the Banking Ordinance
The SFBC proposes a change of the Banking Ordinance (BankO) in order to achieve equal treatment of intangible assets and of goodwill when calculating the capital. In future, intangibles assets are to be deducted from the core capital as well.
The consultation period has expired.

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