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Authorisation
- Authorised or registered institutions, persons and products
  
  These companies, persons and products have a licence and are permitted to operate on the financial market.
  Getting authorised
  Authorised or registered institutions, persons and products
  These companies, persons and products have a licence and are permitted to operate on the financial market.
  Warning list
  These companies are not authorised and may be engaging in financial market activity without the requisite licence.
Supervision
- Our approach to supervision
  
  FINMA’s core task is prudential supervision of the financial market. It also uses private audit companies to extend its reach.
  Information about supervision of…
  Risk categories in the banking sector
  FINMA assigns banks to different risk categories.
  Risk categories in the insurance sector
  FINMA assigns insurers to different risk categories.
Enforcement
- Enforcing supervisory law
  
  Where necessary, FINMA enforces supervisory law using coercive measures under administrative law. Find out about its powers, approach and measures for dealing with violations of the law here.
  Enforcement topics
  Enforcement report
  The enforcement report contains anonymised case studies that offer a more in-depth insight into FINMA’s enforcement activities.
  Warning list
  This is a list of companies and individuals that may be operating without the requisite FINMA authorisation.
Documentation
- FINMA’s legal basis
  
  The financial market laws and the Financial Market Supervision Act provide the basis for FINMA’s activities. FINMA reports in detail on the fulfilment of its aims.
  Information on…
  Financial Market Supervision Act
  The legal basis for FINMA as an authority, setting out its tasks and powers.
  Annual report and financial statements
  FINMA gives a full account of its activities in its annual report.
FINMA
- FINMA – an overview
  
  As an independent supervisor of the Swiss financial market, FINMA is institutionally, functionally and financially independent.
  FINMA: A Portrait
  Supervision of the financial sector calls for a strong, competent, independent regulator. This brochure illustrates how FINMA meets these criteria.
  Annual Report
  FINMA accounts for its supervisory activities in its annual report and annual financial statements.
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Swiss Financial Market Supervisory Authority FINMA
Laupenstrasse 27, 3003 Bern
Phone +41 31 327 91 00, Fax +41 31 327 91 01
info@finma.ch

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Authorisation

Authorisation
Types of authorisation
Banks and securities firms
Insurers
Asset management
Portfolio managers and trustees
Supervisory organisations
Representative offices of financial institutions based outside Switzerland under FinIA
Insurance intermediaries
Self-regulatory organisations (SROs)
Financial market infrastructures and foreign market participants
Rating agencies
Registration body
Ombudsmen for financial service providers
Reviewing body for prospectuses
FinTech

Supervision

Our approach to supervision
Cross-sector issues
Banks and securities firms
Insurers
Asset Management
Portfolio managers and trustees
Supervisory organisations
Self-regulatory organisations (SROs)
Financial market infrastructures
Central mortgage bond institutions
FinTech

Enforcement

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Case reports and court decisions

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