Switzerland
FINMA CH
Marianne Bourgoz Gorgé and Alain Girard to join FINMA’s Executive Board
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Marianne Bourgoz Gorgé and Alain Girard as new members of the Executive Board.
FINMA CH
FINMA sanctions Coutts for 1MDB breaches
Coutts & Co Ltd has seriously breached money laundering regulations by failing to carry out adequate background checks into business relationships and transactions associated with Malaysian sovereign
FINMA CH
FINMA Executive Board: Rupert Schaefer to leave FINMA
Rupert Schaefer has decided to leave the Swiss Financial Market Supervisory Authority FINMA on 31 August 2022.
FINMA CH
FINMA revises circular on operational risks of banks
The Swiss Financial Market Supervisory Authority FINMA is revising its circular on the operational risks of banks, in order to incorporate the latest principles of the Basel standards.
FINMA CH
FINMA to adjust FinMIO-FINMA
The Swiss Financial Market Supervisory Authority FINMA is amending the FINMA Financial Market Infrastructure Ordinance.
FINMA CH
FINMA guidance for portfolio managers and trustees: important next steps
At the end of the year the transitional period for licensing portfolio managers and trustees will come to an end.
FINMA CH
FINMA extends protective measures at Sberbank (Switzerland) AG
The Swiss Financial Market Supervisory Authority FINMA is extending its measures to protect the creditors of Sberbank (Switzerland) AG until 31 May 2022.
FINMA CH
FINMA finds market manipulation at Blackstone Resources AG
The Swiss Financial Market Supervisory Authority FINMA has concluded proceedings for violation of market conduct rules against Blackstone Resources AG and one of its directors.
FINMA CH
FINMA annual media conference 2022: stability of the financial institutions is key
The Swiss Financial Market Supervisory Authority FINMA today published its 2021 Annual Report at its annual media conference.
FINMA CH
FINMA considers recovery and resolution planning by the “too big to fail” institutions to be well on track – but there are still gaps
The Swiss Financial Market Supervisory Authority FINMA provides information on the status of recovery and resolution planning by systemically important Swiss financial institutions.
FINMA CH
Mirjam Eggen appointed Chair of the Swiss Takeover Board
The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Mirjam Eggen as Chair of the Swiss Takeover Board with effect from 1 June 2022.
FINMA CH
Opening of consultation on FINMA Ordinance on Data Processing
The Swiss Financial Market Supervisory Authority FINMA has opened the consultation on the complete revision of the FINMA Ordinance on Data Processing.
Regulator Information
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Abbreviation: FCA
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Abbreviation: FinCEN
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Abbreviation: FMA
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Abbreviation: AMF
Jurisdiction: France
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Abbreviation: FMA
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Abbreviation: FIN-FSA
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Jurisdiction: Iceland
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Abbreviation: IOSCO
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Abbreviation: IIROC
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Abbreviation: ISA
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Abbreviation: JFSC
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Abbreviation: MFSA
Jurisdiction: Malta
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Abbreviation: MSC
Jurisdiction: Canada
Website: https://mbsecurities.ca/
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Abbreviation: MAS
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Abbreviation: CNBV
Jurisdiction: Mexico
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Abbreviation: CONSOB
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Abbreviation: CNV
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Abbreviation: OFAC
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Abbreviation: OCC
Jurisdiction: United States
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Abbreviation: OSC
Jurisdiction: Canada
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Abbreviation: CMVM
Jurisdiction: Portugal
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Abbreviation: SEBI
Jurisdiction: India
Website: https://www.sebi.gov.in/
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Regulator Name: Securities and Exchange Commission
Abbreviation: FSA
Jurisdiction: Japan
Website: http://www.fsa.go.jp/en/
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Regulator Name: Securities and Exchange Commission
Abbreviation: SEC
Jurisdiction: United States
Website: http://www.sec.gov/
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Regulator Name: Securities and Exchange Commission
Abbreviation: SEC NG
Jurisdiction: Nigeria
Website: https://sec.gov.ng/
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Abbreviation: SEC TH
Jurisdiction: Thailand
Website: https://www.sec.or.th/EN
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Abbreviation: CVM
Jurisdiction: Brazil
Website: https://www.gov.br/cvm/pt-br/
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Abbreviation: SFC
Jurisdiction: Hong Kong
Website: http://www.sfc.hk/web/EN/index.html/
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Abbreviation: SSC
Jurisdiction: Vietnam
Website: http://www.ssc.gov.vn/
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Regulator Name: Swedish Financial Supervisory Authority
Abbreviation: FI
Jurisdiction: Sweden
Website: https://www.fi.se/en/
Email: [email protected]
Regulator Name: Swiss Financial Market Supervisory Authority
Abbreviation: FINMA
Jurisdiction: Switzerland
Email: [email protected]
Regulator Name: US Department of the Treasury
Abbreviation: UST
Jurisdiction: United States
Email: [email protected]
Recent Articles
Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)
Financial Industry Regulatory Authority, Inc.
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
Financial Industry Regulatory Authority, Inc.
Revision of Recommendation 25 – White Paper for Public Consultation
The Financial Action Task Force (FATF) is conducting a review of Recommendation 25 (R.25) on the transparency and beneficial ownership (BO) of legal arrangements....
ASIC warns super trustees to be transparent in their underperformance communications to members
ASIC today released the findings from its review of superannuation trustees’ communications with their members following the first annual performance test for MySuper products.
The...
EBA replies to European Commission’s call for advice on the Mortgage Credit Directive review
The European Banking Authority (EBA) published today an Opinion and Report in response to the European Commission’s Call for Advice (CfA) on the review of the Mortgage Credit Directive (MCD) .
