Supervisory organisations

The financial market legislation governing portfolio managers and trustees derives from four federal acts and one ordinance.

Financial Market Supervision Act

This federal act specifies that FINMA is to supervise banks, insurance companies and other financial intermediaries on behalf of the state. It constitutes the umbrella law for other federal acts with provisions related to financial market supervision.

Supervisory Organisations Ordinance (SOO)

Independent portfolio managers and trustees are subject to supervision by supervisory organisations (SOs), which are authorised and supervised by FINMA.

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