1. General information

1.1 Details of the requesting financial market supervisory authority

Financial market supervisory authority:*

Street:*

P.O. box:

Postcode:

Town/city:

Country:*

1.2 Contact information and reference number

Your reference number:

Name of contact person:*

Email:*

Phone:

2. Formal and material information

2.1 Information on the jurisdiction of the requesting financial market supervisory authority

Jurisdiction to carry out the investigation (legal basis; please provide the text or link to the legal provision(s)): *

Basis for the fit and proper enquiry:*

Bilateral MoU with FINMA

IOSCO MMoU

IOSCO EMMoU

Other

Title and date of the MoU:

Other basis:

2.2 Background to the enquiry

Please describe the background to your enquiry:*

2.3 Information on the person/company:

Name of the person/company:*

Date of birth (if person):

Address:

Other:

Link of the person/company to Switzerland:*

Person is domiciled in Switzerland

Company is domiciled in Switzerland

The company is a licensed institution in Switzerland

Other basis

Please specify 'Other basis' here.

2.4 Requested information (fit and proper)

Please list the required information on the relevant person and/or company:*

2.5 Speciality and confidentiality

Specialty and confidentiality (depending on the basis in section 2.1 above):*

Bilateral MoU with FINMA: Confidentiality and the use of the information provided solely for the intended purpose in accordance with the applicable bilateral MoU are expressly guaranteed.

IOSCO MMoU: Confidentiality in accordance with Article 11 of the IOSCO MMoU and the use of the information provided solely for the intended purpose in accordance with Article 10 of the IOSCO MMoU are expressly guaranteed.

IOSCO EMMoU: Confidentiality in accordance with Article 7 of the IOSCO EMMoU and the use of the information provided solely for the intended purpose in accordance with Article 6 of the IOSCO EMMoU are expressly guaranteed.

Other basis: The confidentiality of the information provided and its use solely for the enforcement of financial market law within the scope of the purpose stated in the fit and proper enquiry are expressly guaranteed.

Further comments:

2.6 Link to trustees and portfolio managers or financial intermediary

Does it concern a trustee or portfolio manager?*

Yes

Does it concern a financial intermediary?*

Yes

2.6.1 Trustees and portfolio managers: consent to obtain information from a supervisory organisation*Portfolio managers and trustees are licensed by FINMA. Ongoing supervision is carried out in the case of various trustees and portfolio managers by a supervisory organisation (“SO”) authorised and supervised by FINMA. The requesting authority agrees that FINMA may obtain the requested information from the SO. FINMA will point out to the SO that the information disclosed to the SO is confidential and may only be used to enforce financial market law. FINMA will not disclose the identity of the requesting authority or the fit and proper enquiry to the SO.Further information on supervisory organisations (SOs) can be found on our homepage (link in the info box at the top of this page).

Consent for FINMA to obtain the requested information from the SO

No consent to obtain information from the SO

2.6.1 Financial intermediaries: consent to obtain information from a self-regulatory organisation*Financial intermediaries are not financial institutions licensed and supervised by FINMA, but are members of self-regulatory organisations (SROs) under civil law. The Anti-Money Laundering Act requires financial intermediaries to become members of an SRO in order to ensure compliance with the due diligence obligations for the prevention and avoidance of money laundering. The requesting authority agrees that FINMA may obtain the requested information from the SRO. FINMA will point out to the SRO that the information disclosed to the SRO is confidential and may only be used to enforce financial market law. FINMA will not disclose the identity of the requesting authority or the fit and proper enquiry to the SRO.Further information on self-regulatory organisations (SROs) can be found on our homepage (link in the info box at the top of this page).

Consent to obtain the requested information from the SRO

No consent to obtain information from the SRO

2.7 Further comments

Comments:

Additional explanations of individual points can be provided here.2.8 AttachmentsPlease upload any documents relevant to your enquiry here:

File upload:

Fit and proper enquiries from foreign authorities

1. General information

2. Formal and material information