Aggregated News From Investment Management Regulators

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 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 to adjust FinMIO-FINMA

The Swiss Financial Market Supervisory Authority FINMA is amending the FINMA Financial Market Infrastructure Ordinance.

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 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 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 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 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.

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.

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.

FINMA launches consultation on partial revision of AMLO-FINMA

The Swiss Financial Market Supervisory Authority FINMA revises the FINMA Anti-Money Laundering Ordinance so as to take account of the latest revisions to the Anti-Money Laundering Act and the Federal

Notifica di sanzione aggiornata

Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung des Anhangs der Verordnung vom 7. August 1990 über Wirtschaftsmassnahmen gegenüber der Republik Irak (SR 946.206) publiziert.

Regulator Information

Abbreviation: FINMA
Jurisdiction: Switzerland

Recent Articles

SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices

The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors concerning funds’ and advisers’

SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names

The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that

SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser

The Securities and Exchange Commission today announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its sole owner, Andrew M.

SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities

The Securities and Exchange Commission today announced settled charges against RiverSource Distributors Inc. for improper switching or replacing of variable annuities.

Federal Reserve Board issues Economic Well-Being of U.S. Households in 2021 report

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