Swiss Financial Market Supervisory Authority FINMA

Annual Report 2014

Enforcement measures

In terms of authorised and unauthorised activities, FINMA issues enforcement rulings against companies and individuals that are subject to financial market supervision. This chart shows the category and number of enforcement proceedings between 2012 and 2014.

Number of addressees of rulings according to sector and parties affected

Although the number of rulings was almost the same as in 2013, the number of addressees issued with rulings involving authorised and unauthorised activities was lower in 2014. On average, there were fewer rulings directed at a number of parties (legal entities and individuals) simultaneously.


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