FINMA’s legal basis

FINMA's legal basis as a supervisory authority and organisation derives from the Federal Constitution, federal acts and FINMA ordinances.

Federal Constitution

Article 98 of the Federal Constitution provides the constitutional basis for FINMA's supervisory activities.

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.

Ordinance to the Financial Market Supervision Act

This ordinance fleshes out FINMA's tasks at the international level and in terms of regulation, regulatory principles and the cooperation and exchange of information between FINMA and the Federal Department of Finance.

FINMA Ordinance on the Levying of Supervisory Fees and Levies

This FINMA ordinance governs the levying of fees and supervisory levies and FINMA's formation of reserves.

FINMA Data Ordinance

FINMA seeks to ensure that only persons who meet the requirements for proper business conduct are entrusted with the management of supervised institutions. It collects data on individuals who might not satisfy this requirement, or who are known not to. The FINMA Data Ordinance details how this data is to be handled.

FINMA Organisational Rules

These rules complement the provisions contained in FINMASA and define the framework for the organisation, tasks and powers of FINMA’s Board of Directors, Executive Board and Internal Audit.

FINMA Code of Conduct

FINMA’s Code of Conduct is directed at the members of FINMA’s Board of Directors and its employees. It contains conduct rules aimed, in particular, at avoiding conflicts of interest.

Verhaltenskodex der Eidgenössischen Finanzmarktaufsicht

(Verhaltenskodex FINMA)

Updated: 01.04.2023 Size: 0.22  MB
  • Language(s):
  • DE
  • FR
Add to personal download list

FINMA Personnel Ordinance

FINMA’s Personnel Ordinance lays down the employment conditions for all FINMA employees.

FINMA Personnel Data Ordinance

The FINMA Personnel Data Ordinance regulates the processing of personnel data by FINMA.