Outgoing requests made by FINMA

Swiss cooperation provisions allow FINMA to request foreign financial market supervisory authorities for assistance by passing on information in their possession to FINMA. This helps FINMA to accelerate the implementation of financial market law. 

Under Article 42 Abs. 1 FINMASA, FINMA may ask foreign financial market supervisory authorities to provide information about unauthorised financial intermediaries and the supervision of markets and institutions (requests for assistance). This generally involves investigations relating to stock exchange regulations on market conduct. In 2017, FINMA made 29 requests for assistance, which were fairly evenly spread out with 11 involving licence holders, eight related to unauthorised activity and ten to market supervision.


Outgoing requests for assistance made by FINMA by area (2016–2017) 

 

Outgoing requests for assistance made by FINMA by area (2014-2015)