Transparency in enforcing the law

FINMA publishes an annual enforcement report to make its enforcement proceedings more transparent and, at the same time, to create a preventive effect.

FINMA's enforcement work involves investigating and punishing violations committed by licence holders against the provisions of supervisory law. Since naming companies or individuals is restricted by law (Art. 22 para. 2 FINMASA), FINMA generally only publishes information on ongoing or completed enforcement proceedings if there is a particular public interest, for instance to protect investors, creditors or policyholders. Prompt notification of the general public is essential in such cases and the best way of achieving this is through a press release.

In spring 2015, FINMA published its first annual summary enforcement report. This aims to improve the transparency of FINMA's enforcement activity and have a greater preventive impact on the financial market. In the report, FINMA gives an account of its enforcement activities by publishing anonymised summaries of those cases processed during the past year which ended with a decision. The report also includes references to court rulings and statistics on its enforcement activity.

Enforcement report 2017

Updated: 27.03.2018 Size: 0,41  MB
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Enforcement report 2016

Updated: 04.04.2017 Size: 0,27  MB
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Enforcement report 2015

Updated: 07.04.2016 Size: 0,51  MB
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Enforcement report 2014

Updated: 24.02.2015 Size: 0,5  MB
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