Category: FINMA Licenses and Authorisations

As the Swiss financial market supervisory authority, FINMA is responsible for supervising and monitoring all areas of the financial industry, in particular banks, insurance companies, stock exchanges, securities dealers, collective investment schemes and auditing companies.

It is institutionally, functionally and financially independent of the central federal administration and is only administratively affiliated with the Federal Department of Finance. The Swiss Parliament has a supervisory mandate. In Switzerland, many business activities in the financial sector require a license. In most areas, this is granted by FINMA.

Types of Licences and Authorisations granted by FINMA:

Banks and securities firms, Insurers, Asset management, Portfolio managers and trustees, Supervisory organisations, Representative offices of financial institutions based outside Switzerland under FinIA, Insurance intermediaries, Self-regulatory organisations (SROs), Directly subordinated financial intermediaries (DSFIs), Financial market infrastructures and foreign market participants, Rating agencies, Registration body, Ombudsmen for financial service providers, Reviewing body for prospectuses, FinTech Blockchain & Cryptocurrency Regulation

The leading swiss banking and finance attorneys are fully qualified and equipped to represent a company or a financial institution in cases related to FINMA authorizations or approvals.