Case reports

FINMA publishes anonymised summaries of its enforcement actions that were concluded with a ruling in a database. It thereby increases the transparency of its activity in this area and shows the market what practices are unacceptable. The cases can be searched for and accessed in the database according to criteria.

Owing to statutory restrictions, FINMA is only permitted to provide information on proceedings taken against specific companies or individuals in exceptional cases. FINMA’s reports are thus generally anonymised to protect the personal rights of the individuals affected.

This publication form supplements the publication of selected FINMA rulings. Statistical data on enforcement can be found in the statistics and for the years 2014 to 2018 in the Enforcement reports.

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406 result(s) found

Decision Area Date of decision
2024-26 Licence holders 20.12.2024
2024-25 Licence holders 17.12.2024
2024-24 Licence holders 17.12.2024
2024-35 Unauthorised financial services providers 17.12.2024
2024-23 Licence holders 17.12.2024
2024-22 Licence holders 13.12.2024
2024-34 Unauthorised financial services providers 10.12.2024
2024-21 Licence holders 29.11.2024
2024-20 Licence holders 29.11.2024
2024-19 Licence holders 26.11.2024
2024-18 Licence holders 26.11.2024
2024-17 Licence holders 22.11.2024
2024-16 Licence holders 22.11.2024
2024-15 Licence holders 08.11.2024
2024-14 Licence holders 25.10.2024
2024-13 Licence holders 18.10.2024
2024-33 Unauthorised financial services providers 01.10.2024
2024-11 Licence holders 27.09.2024
2024-12 Licence holders 27.09.2024
2024-32 Unauthorised financial services providers 10.09.2024
2024-31 Unauthorised financial services providers 19.07.2024
2024-39 International cooperation 16.07.2024
2024-27 Takeovers and disclosures 05.07.2024
2024-30 Unauthorised financial services providers 02.07.2024
2024-10 Licence holders 21.06.2024
2024-09 Licence holders 21.06.2024
2024-08 Licence holders 12.06.2024
2024-07 Licence holders 31.05.2024
2024-29 Unauthorised financial services providers 22.05.2024
2024-38 International cooperation 22.05.2024
2024-06 Licence holders 27.03.2024
2024-05 Licence holders 22.03.2024
2024-36 International cooperation 12.03.2024
2024-37 International cooperation 12.03.2024
2024-28 Unauthorised financial services providers 12.03.2024
2024-04 Licence holders 08.03.2024
2024-03 Licence holders 08.03.2024
2024-02 Licence holders 13.02.2024
2024-01 Licence holders 25.01.2024
2023-10 Licence holders 08.12.2023
2023-24 Unauthorised financial services providers 05.12.2023
2023-09 Licence holders 01.12.2023
2023-23 Unauthorised financial services providers 21.11.2023
2023-22 Unauthorised financial services providers 14.11.2023
2023-21 Unauthorised financial services providers 07.11.2023
2023-12 Market supervision 03.11.2023
2023-08 Licence holders 27.10.2023
2023-07 Licence holders 06.10.2023
2023-06 Licence holders 19.09.2023
2023-20 Unauthorised financial services providers 15.09.2023
2023-32 Licence holders 01.09.2023
2023-30 International cooperation 11.08.2023
2023-05 Licence holders 14.07.2023
2023-31 Licence holders 16.06.2023
2023-14 Takeovers and disclosures 26.05.2023
2023-13 Takeovers and disclosures 26.05.2023
2023-11 Market supervision 26.05.2023
2023-19 Unauthorised financial services providers 05.05.2023
2023-29 International cooperation 02.05.2023
2023-04 Licence holders 14.04.2023
2023-03 Licence holders 31.03.2023
2023-18 Unauthorised financial services providers 28.03.2023
2023-02 Licence holders 19.03.2023
2023-28 International cooperation 14.03.2023
2023-27 International cooperation 14.03.2023
2023-26 International cooperation 28.02.2023
2023-16 Unauthorised financial services providers 21.02.2023
2023-17 Unauthorised financial services providers 21.02.2023
2023-15 Unauthorised financial services providers 21.02.2023
2023-01 Licence holders 20.01.2023
2022-19 Licence holders 16.12.2022
2022-18 Licence holders 16.12.2022
2022-17 Licence holders 16.12.2022
2022-16 Licence holders 09.12.2022
2022-15 Licence holders 09.12.2022
2022-14 Licence holders 02.12.2022
2022-34 International cooperation 02.12.2022
2022-13 Licence holders 02.12.2022
2022-22 Takeovers and disclosures 18.11.2022
2022-12 Licence holders 04.11.2022
2022-11 Licence holders 28.10.2022
2022-10 Licence holders 21.10.2022
2022-30 Unauthorised financial services providers 20.09.2022
2022-33 International cooperation 16.09.2022
2022-09 Licence holders 09.09.2022
2022-08 Licence holders 26.08.2022
2022-29 Unauthorised financial services providers 19.08.2022
2022-20 Licence holders 03.08.2022
2022-07 Licence holders 15.07.2022
2022-06 Licence holders 15.07.2022
2022-05 Licence holders 04.07.2022
2022-28 Unauthorised financial services providers 07.06.2022
2022-04 Licence holders 20.05.2022
2022-03 Licence holders 13.05.2022
2022-32 International cooperation 06.05.2022
2022-31 International cooperation 06.05.2022
2022-21 Market supervision 08.04.2022
2022-27 Unauthorised financial services providers 05.04.2022
2022-02 Licence holders 01.04.2022
2022-26 Unauthorised financial services providers 29.03.2022
2022-25 Unauthorised financial services providers 15.02.2022
2022-24 Unauthorised financial services providers 08.02.2022
2022-01 Licence holders 21.01.2022
2022-23 Unauthorised financial services providers 11.01.2022
2021-29 Takeovers and disclosures 17.12.2021
2021-19 Market supervision 17.12.2021
2021-17 Licence holders 17.12.2021
2021-14 Licence holders 10.12.2021
2021-16 Licence holders 10.12.2021
2021-15 Licence holders 10.12.2021
2021-13 Licence holders 18.11.2021
2021-25 Unauthorised financial services providers 12.11.2021
2021-26 Unauthorised financial services providers 12.11.2021
2021-12 Licence holders 29.10.2021
2021-11 Licence holders 22.10.2021
2021-18 Market supervision 22.10.2021
2021-10 Licence holders 08.10.2021
2021-09 Licence holders 01.10.2021
2021-08 Licence holders 17.09.2021
2021-07 Licence holders 10.09.2021
2021-05 Licence holders 23.07.2021
2021-06 Licence holders 23.07.2021
2021-04 Licence holders 06.07.2021
2021-24 Unauthorised financial services providers 02.07.2021
2021-23 Unauthorised financial services providers 29.06.2021
2021-28 Takeovers and disclosures 18.05.2021
2021-22 Unauthorised financial services providers 11.05.2021
2021-21 Unauthorised financial services providers 13.04.2021
2021-30 International cooperation 13.04.2021
2021-03 Licence holders 26.03.2021
2021-02 Licence holders 26.03.2021
2021-27 Takeovers and disclosures 27.01.2021
2021-01 Licence holders 22.01.2021
2021-20 Unauthorised financial services providers 22.01.2021
2020-13 Licence holders 18.12.2020
2020-24 Unauthorised financial services providers 08.12.2020
2020-14 Licence holders 27.11.2020
2020-12 Licence holders 13.11.2020
2020-11 Licence holders 16.10.2020
2020-26 Takeovers and disclosures 16.10.2020
2020-29 International cooperation 29.09.2020
2020-23 Unauthorised financial services providers 29.09.2020
2020-10 Licence holders 25.09.2020
2020-09 Licence holders 11.09.2020
2020-08 Licence holders 04.09.2020
2020-27 Takeovers and disclosures 28.08.2020
2020-06 Licence holders 14.08.2020
2020-07 Licence holders 14.08.2020
2020-05 Licence holders 03.07.2020
2020-04 Licence holders 19.06.2020
2020-22 Unauthorised financial services providers 19.06.2020
2020-21 Unauthorised financial services providers 18.06.2020
2020-20 Unauthorised financial services providers 16.06.2020
2020-19 Unauthorised financial services providers 16.06.2020
2020-03 Licence holders 26.05.2020
2020-18 Unauthorised financial services providers 12.05.2020
2020-02 Licence holders 20.03.2020
2020-17 Unauthorised financial services providers 13.03.2020
2020-25 Unauthorised financial services providers 15.02.2020
2020-16 Market supervision 04.02.2020
2020-01 Licence holders 31.01.2020
2020-28 International cooperation 28.01.2020
2020-15 Takeovers and disclosures 14.01.2020
2019-12 Market supervision 20.12.2019
2019-22 Takeovers and disclosures 06.12.2019
2019-11 Licence holders 08.11.2019
2019-13 Market supervision 25.10.2019
2019-10 Licence holders 25.10.2019
2019-19 Unauthorised financial services providers 22.10.2019
2016-26 Unauthorised financial services providers 20.10.2019
2019-09 Licence holders 18.10.2019
2019-08 Licence holders 27.09.2019
2019-21 Takeovers and disclosures 24.09.2019
2019-18 Unauthorised financial services providers 17.09.2019
2019-07 Licence holders 23.08.2019
2019-06 Licence holders 12.07.2019
2019-05 Licence holders 28.06.2019
2019-20 Takeovers and disclosures 28.06.2019
2019-04 Licence holders 14.06.2019
2019-03 Licence holders 14.06.2019
2019-17 Unauthorised financial services providers 11.06.2019
2016-18 Unauthorised financial services providers 02.06.2019
2019-16 Unauthorised financial services providers 02.04.2019
2019-15 Unauthorised financial services providers 15.03.2019
2019-14 Unauthorised financial services providers 07.03.2019
2019-02 Licence holders 26.02.2019
2019-01 Licence holders 15.02.2019
2018-16 Licence holders 14.12.2018
2018-17 Licence holders 14.12.2018
2018-18 Licence holders 14.12.2018
2018-14 Licence holders 23.11.2018
2018-15 Licence holders 23.11.2018
2018-30 Takeovers and disclosures 23.11.2018
2018-27 Unauthorised financial services providers 22.11.2018
2018-38 International cooperation 22.11.2018
2018-13 Licence holders 09.11.2018
2018-26 Unauthorised financial services providers 01.11.2018
2018-37 International cooperation 25.10.2018
2018-12 Licence holders 05.10.2018
2018-10 Licence holders 03.09.2018
2018-11 Licence holders 03.09.2018
2018-20 Market supervision 31.08.2018
2018-25 Unauthorised financial services providers 29.08.2018
2018-09 Licence holders 24.08.2018
2018-08 Licence holders 13.07.2018
2018-08 Licence holders 13.07.2018
2018-29 Takeovers and disclosures 13.07.2018
2018-07 Licence holders 11.07.2018
2018-36 International cooperation 14.06.2018
2018-06 Licence holders 12.06.2018
2018-34 International cooperation 30.05.2018
2018-35 International cooperation 30.05.2018
2018-04 Licence holders 22.05.2018
2018-05 Licence holders 22.05.2018
2018-33 International cooperation 09.05.2018
2018-28 Takeovers and disclosures 27.03.2018
2018-24 Unauthorised financial services providers 22.03.2018
2018-19 Market supervision 16.03.2018
2018-32 International cooperation 07.03.2018
2018-22 Unauthorised financial services providers 01.03.2018
2018-23 Unauthorised financial services providers 01.03.2018
2018-21 Unauthorised financial services providers 15.02.2018
2018-03 Licence holders 26.01.2018
2018-02 Licence holders 19.01.2018
2018-31 International cooperation 19.01.2018
2018-01 Licence holders 17.01.2018
2017-11 Licence holders 01.12.2017
2017-10 Licence holders 01.12.2017
2017-40 International cooperation 30.11.2017
2017-39 International cooperation 25.10.2017
2017-32 Takeovers and disclosures 06.10.2017
2017-30 Unauthorised financial services providers 05.10.2017
2017-09 Licence holders 22.09.2017
2017-08 Licence holders 22.09.2017
2017-29 Unauthorised financial services providers 08.09.2017
2017-28 Unauthorised financial services providers 07.09.2017
2017-07 Licence holders 01.09.2017
2017-38 30.08.2017
2017-27 Unauthorised financial services providers 25.08.2017
2017-37 International cooperation 27.07.2017
2017-26 Unauthorised financial services providers 27.07.2017
2017-25 Unauthorised financial services providers 20.07.2017
2017-24 Unauthorised financial services providers 13.07.2017
2017-05 30.06.2017
2017-06 Licence holders 30.06.2017
2017-14 Market supervision 20.06.2017
2017-15 Market supervision 20.06.2017
2017-16 Market supervision 20.06.2017
2017-13 Market supervision 20.06.2017
2017-12 Market supervision 20.06.2017
2017-04 Licence holders 19.05.2017
2017-23 Unauthorised financial services providers 11.05.2017
2017-36 International cooperation 27.04.2017
2017-35 International cooperation 30.03.2017
2017-22 Unauthorised financial services providers 23.03.2017
2017-21 Unauthorised financial services providers 16.03.2017
2017-20 Unauthorised financial services providers 02.03.2017
2017-19 Unauthorised financial services providers 02.03.2017
2017-34 International cooperation 24.02.2017
2017-18 Unauthorised financial services providers 24.02.2017
2017-33 International cooperation 16.02.2017
2017-31 Takeovers and disclosures 02.02.2017
2017-03 Licence holders 02.02.2017
2017-17 Unauthorised financial services providers 02.02.2017
2017-02 Licence holders 27.01.2017
2017-01 Licence holders 13.01.2017
2016-34 International cooperation 16.12.2016
2016-35 International cooperation 16.12.2016
2016-28 Unauthorised financial services providers 15.12.2016
2016-29 Unauthorised financial services providers 15.12.2016
2016-27 Unauthorised financial services providers 08.12.2016
2016-15 Licence holders 15.11.2016
2016-14 Licence holders 03.11.2016
2016-25 Unauthorised financial services providers 13.10.2016
2016-13 Licence holders 07.10.2016
2016-24 Unauthorised financial services providers 08.09.2016
2016-22 Unauthorised financial services providers 18.08.2016
2016-23 Unauthorised financial services providers 18.08.2016
2016-12 Licence holders 12.08.2016
2016-10 Licence holders 08.07.2016
2016-08 Licence holders 08.07.2016
2016-09 Licence holders 08.07.2016
2016-11 Licence holders 08.07.2016
2016-21 Unauthorised financial services providers 08.07.2016
2016-33 International cooperation 07.07.2016
2016-30 Takeovers and disclosures 01.07.2016
2016-07 Licence holders 24.06.2016
2016-20 Unauthorised financial services providers 09.06.2016
2016-19 Unauthorised financial services providers 02.06.2016
2016-06 Licence holders 27.05.2016
2016-05 Licence holders 23.05.2016
2016-04 Licence holders 29.04.2016
2016-32 International cooperation 28.04.2016
2016-17 Unauthorised financial services providers 07.04.2016
2016-03 Licence holders 19.02.2016
2016-16 Unauthorised financial services providers 19.02.2016
2016-02 Licence holders 29.01.2016
2016-31 International cooperation 28.01.2016
2016-01 Licence holders 07.01.2016
2015-14 Licence holders 18.12.2015
2015-02 Licence holders 18.12.2015
2015-22 Market supervision 18.12.2015
2015-42 Unauthorised financial services providers 17.12.2015
2015-18 Market supervision 11.12.2015
2015-20 Market supervision 11.12.2015
2015-21 Market supervision 11.12.2015
2015-39 Unauthorised financial services providers 11.12.2015
2015-19 Market supervision 11.12.2015
2015-50 International cooperation 19.11.2015
2015-32 Unauthorised financial services providers 06.11.2015
2015-38 Unauthorised financial services providers 29.10.2015
2015-37 Unauthorised financial services providers 29.10.2015
2015-17 Market supervision 23.10.2015
2015-40 Unauthorised financial services providers 12.10.2015
2015-41 Unauthorised financial services providers 12.10.2015
2015-13 Licence holders 18.09.2015
2015-12 Licence holders 17.09.2015
2015-49 International cooperation 07.09.2015
2015-11 Licence holders 03.09.2015
2015-10 Licence holders 28.08.2015
2015-44 Takeovers and disclosures 21.08.2015
2015-09 Licence holders 14.08.2015
2015-36 Unauthorised financial services providers 10.08.2015
2015-34 Unauthorised financial services providers 23.07.2015
2015-08 Licence holders 26.06.2015
2015-33 Unauthorised financial services providers 26.06.2015
2015-48 International cooperation 25.06.2015
2015-07 Licence holders 19.06.2015
2015-06 Licence holders 18.06.2015
2015-05 Licence holders 05.06.2015
2015-04 Licence holders 29.05.2015
2015-30 Unauthorised financial services providers 21.05.2015
2015-29 Unauthorised financial services providers 07.05.2015
2015-47 International cooperation 02.05.2015
2015-27 Unauthorised financial services providers 30.04.2015
2015-28 Unauthorised financial services providers 30.04.2015
2015-25 Unauthorised financial services providers 24.04.2015
2015-26 Unauthorised financial services providers 24.04.2015
2015-03 Licence holders 17.04.2015
2015-35 Unauthorised financial services providers 09.04.2015
2015-31 Unauthorised financial services providers 06.04.2015
2015-43 Takeovers and disclosures 05.04.2015
2015-24 Unauthorised financial services providers 26.02.2015
2015-01 Licence holders 02.02.2015
2015-46 International cooperation 29.01.2015
2015-45 International cooperation 23.01.2015
2015-15 Market supervision 16.01.2015
2015-16 Market supervision 16.01.2015
2015-23 Unauthorised financial services providers 09.01.2015
2014-24 Licence holders 19.12.2014
2014-49 Unauthorised financial services providers 18.12.2014
2014-23 Licence holders 12.12.2014
2014-48 Unauthorised financial services providers 11.12.2014
2014-21 Licence holders 28.11.2014
2014-22 Licence holders 28.11.2014
2014-20 Licence holders 14.11.2014
2014-61 Takeovers and disclosures 13.11.2014
2014-29 Market supervision 07.11.2014
2014-47 Unauthorised financial services providers 06.11.2014
2014-45 Unauthorised financial services providers 30.10.2014
2014-46 Unauthorised financial services providers 30.10.2014
2014-19 Licence holders 30.10.2014
2014-18 Licence holders 24.10.2014
2014-27 Market supervision 24.10.2014
2014-28 Market supervision 24.10.2014
2014-44 Unauthorised financial services providers 17.10.2014
2014-66 International cooperation 09.10.2014
2014-17 Licence holders 03.10.2014
2014-15 Licence holders 18.09.2014
2014-26 Market supervision 12.09.2014
2014-16 Licence holders 08.09.2014
2014-14 Licence holders 05.09.2014
2014-43 Unauthorised financial services providers 29.08.2014
2014-13 Licence holders 22.08.2014
2014-12 Licence holders 22.08.2014
2014-65 International cooperation 21.08.2014
2014-11 Licence holders 07.07.2014
2014-42 Unauthorised financial services providers 04.07.2014
2014-09 Licence holders 04.07.2014
2014-10 Licence holders 04.07.2014
2014-60 Takeovers and disclosures 03.07.2014
2014-08 30.06.2014
2014-41 Unauthorised financial services providers 20.06.2014
2014-39 Unauthorised financial services providers 06.06.2014
2014-40 Unauthorised financial services providers 06.06.2014
2014-38 Unauthorised financial services providers 28.05.2014
2014-05 Licence holders 23.05.2014
2014-06 Licence holders 23.05.2014
2014-07 Licence holders 23.05.2014
2014-64 International cooperation 01.05.2014
2014-37 Unauthorised financial services providers 25.04.2014
2014-36 Unauthorised financial services providers 18.04.2014
2014-04 Licence holders 16.04.2014
2014-25 Market supervision 28.03.2014
2014-02 Licence holders 21.03.2014
2014-03 Licence holders 21.03.2014
2014-35 Unauthorised financial services providers 21.03.2014
2014-34 Unauthorised financial services providers 20.03.2014
2014-33 Unauthorised financial services providers 14.03.2014
2014-63 International cooperation 13.02.2014
2014-32 Unauthorised financial services providers 07.02.2014
2014-31 Unauthorised financial services providers 24.01.2014
2014-01 Licence holders 17.01.2014
2014-30 Unauthorised financial services providers 10.01.2014
2014-62 International cooperation 09.01.2014
2023-25 Unauthorised financial services providers
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