Preliminary authorisation enquiries

Setting up a banking or securities trading business may require authorisation. Enquiries in this regard should be addressed to FINMA.

FINMA answers questions from individuals and legal entities as to whether their intended activities require authorisation and are thus subject to supervision. Preliminary enquiries entail appraising the legal aspects of a specific case before submitting a licence application. Projects for banks and securities firms requiring authorisation need an initial assessment and plausibility check.

Assessments generally incur a fee.

Enquiries should be addressed to the Authorisation section of FINMA’s Banks division.