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{"sheet":"Conduct supervision","index":0,"n_rows":54,"n_cols":8,"rows_kept":54}
["Conduct supervision"]
[]
[]
["Although progress has been achieved, FINMA is once again setting its focus on combating money laundering and terrorist financing particularly in connection with blockchain-based transactions. An additional point of focus is the rules of conduct set out in the new Financial Services Act, which financial institutions must observe in relation to their clients."]
[]
["On-site supervisory reviews aimed at preventing money laundering"]
["Each year, FINMA performs around 30 on-site supervisory reviews on the issue of preventing money laundering. These comprise longer supervisory reviews as well as shorter, selective engagements, also known as “deep dives”. "]
[]
["On-site supervisory reviews",2021,2020,2019,2018,2017,2016,2015]
[]
[]
["Total no. of on-site supervisory reviews",28,32,31,36,39,21,"–"]
[]
[]
[]
[]
["Enforcement investigations and proceedings "]
["A significant part of FINMA’s enforcement activities involves combating money laundering. FINMA is entitled to conduct enforcement investigations if it has reason to believe that supervisory law may have been breached. If FINMA considers that supervisory law has been breached and there is no other way to restore a normal state of affairs, it must initiate enforcement proceedings. "]
[]
["Enforcement investigations",{"$f":"B$9","v":2021},{"$f":"C$9","v":2020},{"$f":"D$9","v":2019},{"$f":"E$9","v":2018},2017,2016,2015]
[]
[]
["Total no. of enforcement investigations",650,540,679,545,528,526,742]
["   – of which aimed at combating money laundering",183,188,232,244,187,163,328]
[]
[]
[]
["Enforcement proceedings",{"$f":"B$9","v":2021},{"$f":"C$9","v":2020},{"$f":"D$9","v":2019},{"$f":"E$9","v":2018},2017,2016,2015]
[]
[]
["Total no. of enforcement proceedings",34,33,28,42,38,38,55]
["   – of which aimed at combating money laundering",11,9,12,18,14,13,2]
[]
[]
[]
[]
["Criminal charges based on contravention of the Anti-Money Laundering Act (AMLA)"]
["In the event of criminal breaches of supervisory law (in particular, breaches of reporting obligations under Art. 9 AMLA or activities being carried out without the required licence), FINMA will bring charges. "]
[]
["Criminal charges",{"$f":"B$9","v":2021},{"$f":"C$9","v":2020},{"$f":"D$9","v":2019},{"$f":"E$9","v":2018},2017,2016,2015]
[]
["Total no. of charges filed",16,20,27,12,17,9,24]
[]
[]
[]
[]
["Reports to the Money Laundering Reporting Office Switzerland (MROS)"]
["Swiss financial intermediaries are increasingly recognising suspicious clients and reporting them to MROS. Transaction monitoring by financial intermediaries is also contributing to more clients being reported. Under the regulations, financial intermediaries have a certain scope to structure their own transaction monitoring systems; however, these have to be effective. "]
[]
["MROS reports",{"$f":"B$9","v":2021},{"$f":"C$9","v":2020},{"$f":"D$9","v":2019},{"$f":"E$9","v":2018},2017,2016,2015]
[]
[]
["Total no. of MROS reports","n.a.",{"v":9601,"d":"9,601"},{"v":7705,"d":"7,705"},{"v":6126,"d":"6,126"},{"v":4684,"d":"4,684"},{"v":2909,"d":"2,909"},{"v":2367,"d":"2,367"}]
["Percentage of reports resulting from transaction monitoring","n.a.",36,31,20,19,9,7]