FINMA’s policies on communication, enforcement and regulation

To ensure transparency, FINMA has issued policies in three areas which are particularly relevant to members of the public: communication, enforcement and regulation.

As an independent authority, FINMA must act in the public interest. The majority of FINMA’s actions are documented clearly, rendering its decision-making transparent. FINMA’s Board of Directors has issued guidelines and policies on communication, enforcement and regulation.

Communication policy

Article 9 para. 1 let. i FINMASA states that FINMA’s Board of Directors is responsible for issuing "guidelines on information activities". FINMA’s communication policy establishes the framework for its communications with the public and is divided into two parts: communications on general supervisory and regulatory topics, and communications on individual companies and persons.

FINMA communication policy

Updated: 25.09.2014 Size: 0.52  MB
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Enforcement policy

One of FINMA’s tasks is to enforce supervisory law using, where necessary, the coercive instruments provided. FINMA uses enforcement proceedings against supervised institutions in a targeted and risk-oriented manner. The principles governing these proceedings are set out in FINMA’s enforcement policy.

FINMA enforcement policy

Updated: 25.09.2014 Size: 0.31  MB
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Regulation policy

To ensure transparency of the regulation process and appropriate involvement of all stakeholders, FINMA has issued guidelines on financial market regulation. These guidelines stipulate that interested parties must be informed regularly and in good time about regulatory projects which are planned or pending. In addition, FINMA opens up draft regulations and explanatory reports for public consultation, giving all stakeholders the opportunity to express their views.