Publication of final rulings naming those involved

Article 34 FINMASA gives FINMA the power to publish all or part of its final rulings on serious violations of supervisory law, including personal details of those involved, once a ruling has become legally binding and it provides for this.

Protecting investors against illegal activity

The vast majority of such publications concern cease and desist orders, which are bans on specific individuals conducting unauthorised activities. FINMA’s main aim here is to warn investors about such individuals.

Information on proceedings in special cases

Publication under Article 34 FINMASA must not be confused with publication of information on enforcement proceedings under Article 22 FINMASA, which states that FINMA does not normally publish details of individual proceedings unless there is a particular supervisory interest in doing so. FINMA has issued a communication policy that expands on this point.

Final rulings published under Article 34 FINMASA

Below is a list of rulings published under Article 34 FINMASA. You can filter it according to the name of the person / company and the date of the measures ordered.