Swiss Financial Market Supervisory Authority FINMA

Annual Report 2014

Overview of enforcement

In 2014, the Enforcement division conducted several large-scale parallel investigations into cases with an international element.
The number of proceedings against ultimate management and employees of licence holders, in particular those focusing on
business conduct, also increased.


Preliminary investigations and enforcement rulings *

* Discrepancies arising from the introduction of a new system were corrected retrospectively.


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