Declaration of consent to the receipt of electronic documents via the FINMA distribution platform

FINMA can send encrypted documents promptly and electronically to supervised institutions, audit firms and other recipients via the distribution platform. FINMA uses Swiss Post’s IncaMail platform as the basis of the distribution platform.1 Use of the distribution platform via the IncaMail web interface is free of charge for supervised institutions, audit firms and other recipients.

Completion of the enclosed form notifies FINMA of your consent to the dispatch of electronic documents via the distribution platform. Consent thus given to the receipt of electronic documents from FINMA via the distribution platform can be revoked at any time by sending an email to digital@finma.ch. It is also possible to notify FINMA via this email address of any adjustments to a previous agreement (e.g. a new email address) and/or ask questions.


Declaration of consent

In the case of legal entities, those persons who complete the form must be duly authorised.

1. Consenting receiving party
Company: (2)
First name:
*
Surname:
*
Address:
*
Postcode / city:
*
2. Contact person for any technical queries from FINMA
Title:
*
First name:
*
Surname:
*
Telephone number:
*
Email address:
*
3. Consent to the receipt of electronic messages from FINMA relating to authorisation and supervision
The receiving party listed in item 1 hereby agrees that FINMA may send them electronic messages via the distribution platform as part of the authorisation and supervisory process. This consent covers both messages outside of FINMA administrative proceedings and decrees and other messages within FINMA administrative proceedings (e.g. proceedings relating to an authorisation or change of authorisation). This general consent does not apply to any future FINMA enforcement measures, where FINMA is required to obtain explicit consent for the electronic transmission of decrees and other information in the proceedings in question. (3)
Email address (submission): (4)
From date (submission):
4. Consent to the receipt of electronic invoices
The receiving party listed in item 1 hereby agrees that FINMA may send them invoices electronically via the distribution platform (in PDF format and without decree status). N.B. you may use a different email address from the one provided in item 3 to receive invoices.
Email (invoices):
From date (invoices):
5. Selection of preferred connectivity method
IncaMail web interface (free of charge) (5)
IncaMail-Mailgateway integration (for a fee) (6)
*

Notes

Please ensure where possible that the email addresses given in items 3 and 4 are not affected by any changes in personnel, preferably by providing a group mailbox or similar. Forwarding to additional recipients can be implemented through settings in the receiving party’s own email infrastructure.

The receipt function for registered electronic post needs to be activated in advance in the IncaMail settings (plus the opening of the IncaMail account via http://www.incamail.ch/) to receive registered electronic post from FINMA. Electronic correspondence related to a FINMA procedure is governed by the applicable procedural provisions, in particular the Ordinance on Electronic Transmission for Administrative Procedures (VeÜ-VwV). As a rule, FINMA only sends electronic domestic messages via the distribution platform. Independently of the consent granted through this form, FINMA reserves the right to also send correspondence via normal post in future. Further information on using the distribution platform is available on the FINMA website and http://www.incamail.ch/.

1 Swiss Post’s IncaMail platform meets the requirements of the Recognition Ordinance for Delivery Platforms (SR 272.11), enabling FINMA to (also) securely disclose rulings relating to administrative procedures.

2 If you are completing this form in your own name as a private person, you may leave this field empty.

3 According to Article 8 para. 2 of the Ordinance on the Electronic Transmission for Administrative Proceedings (VeÜ-VwV; SR 172.021.2), only a person who regularly represents a party or parties in proceedings in front of a specific authority, may give their general consent to the electronic receipt of decrees and other messages in future administrative proceedings. Otherwise this consent must be given, for legal reasons, as part of the relevant specific administrative proceedings involving FINMA (Art. 8 para. 1 VeÜ-VwV).

4 This consent applies to the following dispatch types (only one email address can be provided for both dispatch types):

  • Standard (IncaMail’s “confidential message” dispatch type; the equivalent of non-registered physical mail).

  • Registered (IncaMail’s “registered mail” dispatch type; the equivalent of registered physical mail. FINMA and the receiving party each receive a digitally signed PDF confirmation certifying the dispatch and the exact time of receipt).

5 With IncaMail web interface (i.e. without IncaMail integration) the electronic message from FINMA is delivered to the email address given in encrypted format. The encrypted email can be opened in the registered inbox by entering the IncaMail password.

6 IncaMail-Mailgateway integration embeds IncaMail in the email application, so the electronic communication from FINMA can be opened directly in the email application (without entering the IncaMail password). If this method is preferred, FINMA will transfer the contact data in this form to Post CH AG to enable them to set up the integration solution. According to the information available to FINMA, the cost of the IncaMail-Mailgateway integration based on registration through this form is currently approx. CHF 360 per year (as at October 2019; the invoice is issued by Post CH AG).  

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