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Authorisation
- Authorisation overview
  
  Engaging in financial market activity requires authorisation. If the legal requirements are met, authorisation is granted.
  Getting authorised
  Licensed institutions and persons
  These companies are authorised to engage in financial market activity.
  Warning list
  These companies are not authorised and may be engaging in financial market activity without the requisite licence.
Supervision
- Our approach to supervision
  
  FINMA’s core task is prudential supervision of the financial market. It also uses private audit companies to extend its reach.
  Information about supervision of…
  Risk categories in the banking sector
  FINMA assigns banks to different risk categories.
  Risk categories in the insurance sector
  FINMA assigns insurers to different risk categories.
Enforcement
- Enforcing supervisory law
  
  Where necessary, FINMA enforces supervisory law using coercive measures under administrative law. Find out about its powers, approach and measures for dealing with violations of the law here.
  Enforcement topics
  The enforcement report contains anonymised case studies that offer a more in-depth insight into FINMA’s enforcement activities.
  Warning list
  This is a list of companies and individuals that may be operating without the requisite FINMA authorisation.
Documentation
- FINMA’s legal basis
  
  The financial market laws and the Financial Market Supervision Act provide the basis for FINMA’s activities. FINMA reports in detail on the fulfilment of its aims.
  Information on…
  Financial Market Supervision Act
  The legal basis for FINMA as an authority, setting out its tasks and powers.
  Annual report and financial statements
  FINMA gives a full account of its activities in its annual report.
FINMA
- FINMA – an overview
  
  As an independent supervisor of the Swiss financial market, FINMA is institutionally, functionally and financially independent.
  FINMA: A Portrait
  Supervision of the financial sector calls for a strong, competent, independent regulator. This brochure illustrates how FINMA meets these criteria.
  Annual Report
  FINMA accounts for its supervisory activities in its annual report and annual financial statements.
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FINMA as a resolution authority
Proceedings
VIVIS AG

VIVIS AG

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VIVIS AG

Responsible

Liquidator Erne Meier Mongiovì Rechtsanwälte
Stadelhoferstrasse 33
8024 Zürich

Type of proceeding

Debtor VIVIS AG, Bahnhofstrasse 6
9100 Herisau

VIVIS AG

All about Enforcement
Licence holders

Unauthorised activities

Market supervision

Enforcement tools

Data collection to monitor proper business conduct and reviewing fitness and propriety requirements
Recovery and resolution

National and international cooperation

Rights and obligations
Case reports and court decisions

Swiss Financial Market Supervisory Authority FINMA
Laupenstrasse 27, 3003 Bern
Phone +41 31 327 91 00, Fax +41 31 327 91 01
info@finma.ch

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Authorisation

Authorisation
Types of authorisation
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
Reviewing body for prospectuses
FinTech
FinSA and FinIA

Supervision

Our approach to supervision
Cross-sector issues
Banks and securities firms
Insurers
Asset Management
Portfolio managers and trustees
Supervisory organisations
Self-regulatory organisations (SROs)
Financial market infrastructures
Central mortgage bond institutions
FinTech

Enforcement

All about Enforcement
Licence holders
Unauthorised activities
Market supervision
Enforcement tools
Data collection to monitor proper business conduct and reviewing fitness and propriety requirements
Recovery and resolution
National and international cooperation
Rights and obligations
Case reports and court decisions

Documentation

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Legal basis
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