This federal act specifies that FINMA is to supervise banks, insurance companies and other financial intermediaries on behalf of the state. It constitutes the umbrella law for other federal acts with provisions related to financial market supervision.
This ordinance fleshes out FINMA's tasks at the international level and in terms of regulation, regulatory principles and the cooperation and exchange of information between FINMA and the Federal Department of Finance.
FINMA seeks to ensure that only persons who meet the requirements for proper business conduct are entrusted with the management of supervised institutions. It collects data on individuals who might not satisfy this requirement, or who are known not to. The FINMA Data Ordinance details how this data is to be handled.
These rules complement the provisions contained in FINMASA and define the framework for the organisation, tasks and powers of FINMA’s Board of Directors, Executive Board and Internal Audit.
FINMA’s Code of Conduct is directed at the members of FINMA’s Board of Directors and its employees. It contains conduct rules aimed, in particular, at avoiding conflicts of interest.
FINMA’s Personnel Ordinance lays down the employment conditions for all FINMA employees.