Home
Media
Jobs
Contact
FINMA portal

- News
- Documents
- 0
- MyFINMA
- - EN
  - DE
  - FR
  - IT

Authorisation
- Authorised or registered institutions, persons and products
  
  These companies, persons and products have a licence and are permitted to operate on the financial market.
  Getting authorised
  Authorised or registered institutions, persons and products
  These companies, persons and products have a licence and are permitted to operate on the financial market.
  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
  Enforcement report
  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.
FINMA Public

Home
FINMA Public
Warning list
ASPEN Investment LLC

ASPEN Investment LLC

← Back to overview page

Name	ASPEN Investment LLC
Domicile	-
Address	Zürich
Internet	www.aspeninvestmentllc.com
Commercial register	Not entered in commercial register
Remarks	-

ASPEN Investment LLC

Warning list
Warnings
FINMA briefly explained
Questions and answers
Fact sheets
Investment fraud
Financial literacy
Authorised institutions, individuals and products
Reporting information
Abbreviations

Backgroundimage

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

Search site

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)
Financial market infrastructures and foreign market participants
Rating agencies
Registration body
Ombudsmen for financial service providers
Reviewing body for prospectuses
FinTech

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
Database for assessing fitness and propriety requirements
Recovery and resolution
National and international cooperation
Rights and obligations
Case reports and court decisions

Documentation

Legal basis for FINMA’s activities
Legal basis
Circulars
Consultations and evaluations
FINMA position statements
FINMA Guidance
FINMA publications
FINMA videos
Dossiers
Enforcement reporting
Insurance law rulings
Self-regulation
Sanctions and FATF statements
Archive

FINMA

FINMA – an overview
Supervisory objectives
Organisation
Working at FINMA
Activities
Auditing
FINMA mandataries
National cooperation
International activities
Digital exchange
Events
Making a report

FINMA Public

Authorised companies
Warnings
Reporting information

EN
DE
FR
IT

© 2024 FINMA
Media
Jobs and careers
Contact
Abbreviations
Terms and conditions
About this website
Sitemap
Archive

© 2024 FINMA