Aggregated News From Investment Management Regulators

FINMA CH

Money laundering: FINMA concludes final proceedings connected with Venezuela

The Swiss Financial Market Supervisory Authority FINMA has concluded two further proceedings focusing on Venezuelan business relationships. In these, it found that Banca Zarattini & Co.

Money laundering: FINMA concludes final proceedings connected with Venezuela

The Swiss Financial Market Supervisory Authority FINMA has concluded two further proceedings focusing on Venezuelan business relationships. In these, it found that Banca Zarattini & Co.

FINMA Risk Monitor 2021: focus remains on the mortgage market

In its 2021 Risk Monitor the Swiss Financial Market Supervisory Authority FINMA identified six significant risks for the financial sector. It derives its supervisory focus from these.

COP 26: FINMA committed to implementing relevant NGFS recommendations

The Network for Greening the Financial System (NGFS) today published a declaration outlining its contribution to the deliverables of the UN Climate Change Conference in Glasgow (COP 26).

Urban Angehrn takes up role as new FINMA CEO

Urban Angehrn takes up his new post as CEO of the Swiss Financial Market Supervisory Authority FINMA today.

Credit Suisse observation activities: FINMA identifies serious breaches of supervisory law

The Swiss Financial Market Supervisory Authority FINMA has concluded its proceedings against Credit Suisse.

Mozambique loans: FINMA concludes proceedings against Credit Suisse

Credit Suisse seriously violated the organisational requirements and the AMLA reporting obligations in connection with loans it made to state-owned companies in Mozambique in 2013.

FINMA recognises adjustments to the Asset Management Association Switzerland’s self-regulation as a minimum standard

The Swiss Financial Market Supervisory Authority FINMA recognises the adjustments to the Asset Management Association Switzerland’s self-regulation as a minimum standard.

FINMA recommends portfolio managers and trustees submit licence applications in good time

Half way through the three-year transition period, only 180 out of around 2,400 portfolio managers and trustees affected have so far submitted a licence application to the Swiss Financial Market Supe

FINMA issues first-ever approval for a stock exchange and a central securities depository for the trading of tokens

The Swiss Financial Market Supervisory Authority FINMA has issued two approvals to operate financial market infrastructures based on so-called Distributed Ledger Technology (DLT).

Swiss Takeover Board: Hans-Peter Wyss elected as new member

The Board of Directors of the Swiss Financial Market Supervisory Authority FINMA has appointed Hans-Peter Wyss to the Swiss Takeover Board with effect from 1 November 2021.

Regulator Information

Abbreviation: FINMA
Jurisdiction: Switzerland
Email: [email protected]

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