The EHP is primarily intended for all institutions that are already authorised by FINMA or that wish to apply for authorisation. Institutions authorised by FINMA will be actively invited by FINMA to use the EHP. Institutions not authorised by FINMA can find out on the FINMA homepage whether the licensing process for their institution is conducted via the EHP. The relevant authorisations can be found here.
You can submit an application for self-registration to FINMA. Please first consult the explanatory videos on self-registration via the link below, where you will also find the link for the application for self-registration.
Please report the information to be corrected to firstname.lastname@example.org. You will receive a response from our support team within a reasonable period.
So that the registration can be completed successfully, it must be completed without interruption when the link is opened for the first time. If the link you received no longer works or has expired (the link is only valid for 21 days), please send a screenshot of the error message to email@example.com. You will receive a response from our support team within a reasonable period.
If you have already submitted the application for self-registration once (for example, for another application), the same email address cannot be used. If you have already registered an institution, your existing AC account cannot yet be linked with the new, not yet registered institution. Please contact firstname.lastname@example.org. You will receive a response from our support team within a reasonable period.
An application will generally be processed and approved within a few days. There may be slight delays in some cases. The named persons (manager/deputy) will receive an email as soon as the application has been approved. Confirmation will also subsequently be sent out by post. If the application has not been approved after 5 working days, please contact us at email@example.com.
Approval of your application for self-registration allows you to access the EHP. The approval does not mean that you are now a licensed institution or that you are subject to supervision by FINMA. Self-registration only allows you to access the EHP and the application and reporting templates available there.
Registration for the EHP takes place by naming at least two authorisation coordinators (ACs) using the form on the FINMA homepage. For new licences you will receive an invitation to register for the EHP after the licence has taken legal force.
An authorisation coordinator is the institution’s EHP administrator. When using the EHP, the ACs are responsible for ensuring the ability to receive digital surveys from FINMA and for assigning and administering the rights of the other users within their institution. You will find further information in the guidelines entitled “The role of the administration administrator”.
This is possible with the institution’s consent. You will be assigned all of the rights and duties of an AC for the corresponding institution and will be able to view all of the institution’s data which is maintained and managed via the EHP. After the licensing procedure has taken place, you can delete the AC role again or transfer it to an internal employee of the institution using the following form.
Changes, deletion and the replacement of ACs can be reported using the following form on the FINMA homepage.
New surveys will be shown under the “Surveys” menu item. The ACs registered with FINMA also receive notification by email as soon as a new survey has been published that is relevant for their institution.
So that a survey can be processed and submitted, the AC must first allocate the survey to a “Manager”. If the survey has not yet been allocated to a Manager, the survey cannot be opened. Allocation takes place using the following buttons:
Only internal or external users previously entered by the AC in the “Administration” menu item can be allocated to the survey. However, the AC can enter new users at any time and assign corresponding roles (Manager, Employee). Only one user with the role of “Manager” can be allocated to a survey or several users with the roles of “Employee”. You can find further information about the authorisation concept in the online help.
It will be shown in the survey whether a delivery note must be submitted or not. You can find further information under the topic of “EHP delivery note”.
Please contact firstname.lastname@example.org. You will receive a response from our support team within a reasonable period.
As soon as the form contains no further validation errors (e.g. empty mandatory fields), the status of the form changes to “Validated”. All forms must have the validated status so that the application / report can be submitted. The “Validated” status on the survey means that the survey has been validated by the manager. However, changes can still be made to the form.
The Delivery note is generated after the application or survey has been submitted if the delivery note is required for the corresponding survey or application. The EHP delivery note is either submitted with a qualified electronic signature in accordance with the Swiss Electronic Signature Act (ZertES; SR 943.03) via the EHP or signed by hand and sent by post. By duly signing the EHP delivery note you confirm that you have provided the information in your submission to FINMA truthfully. Enclosures sent by post should always contain a Delivery note, since these can be allocated to the pending transaction directly using the QR code. An EHP delivery note can be generated after the application has been submitted by clicking the relevant button.
It will be shown in the survey or application whether a delivery note must be submitted or not.
After the application has been submitted by clicking the “Submit” button, a button labelled “Submit electronically” will be displayed in the same place. The electronically signed delivery note can be submitted using this button. Electronically signed attachments to applications can only be transmitted together with the electronically signed delivery note. Please do not upload the electronically signed delivery note as an attachment.
We recommend that submissions are made entirely electronically. This reduces media disruptions and FINMA receives the information required to assess the application immediately. However, if electronic submission is not possible for you, we ask that you print out the delivery note, sign it and submit it together with any physical enclosures. As soon as FINMA has received the documents, they will appear under “Attachments submitted to FINMA”. All attachments that FINMA has received physically by post or as electronically signed attachments will appear here as soon as FINMA has received them. If you make any subsequent physical submissions we ask that you submit the delivery note together with the new/amended documents to FINMA again.
In principle only one duly signed EHP delivery note needs to be submitted together with the application. The EHP delivery note is submitted either with a qualified electronic signature via the EHP or signed by hand and sent by post. By duly signing the EHP delivery note you confirm that you have provided the information in your submission to FINMA truthfully. In some cases enclosures, e.g. the self-declaration, must also be duly signed before they are submitted.
How can I submit an application to become licensed as a portfolio manager/trustee?
You will find further information including explanatory videos on the procedure for submitting an application to become licensed as a portfolio manager and/or trustee at this address.
When I try to submit the application I get the following error message: “An attachment is required for the following categories: SO modification confirmation.”
The licence application can only be submitted to FINMA after it has been checked by the supervisory organisation (SO) and the SO has issued a confirmation of affiliation (further information about the licensing process can be found in FINMA Guidance 01/2022 and on the website). Applications without confirmation of affiliation to an SO are incomplete and cannot be submitted. The confirmation of affiliation to an SO must be uploaded as an attachment in the EHP application and assigned to the relevant category “SO modification confirmation”.