Changes in ultimate management

Changes in ultimate strategic and executive management must be authorised by FINMA, so that the institution can carry on its business activities. The aim is to prevent problematic individuals from taking up positions in which they are responsible for proper business conduct.

Required documents

The documents required to assess proper business conduct must be submitted to FINMA. These include information on nationality, address, qualified participations in other companies as well as pending and concluded proceedings, a CV as well as extracts from the criminal and debt enforcement registers (both not older than three months) or an equivalent confirmation for foreign nationals. The documents are to be submitted electronically via the FINMA survey and application platform (EHP).