Requirements for supervised banks and securities dealers

FINMA supervises banks and securities dealers to ensure that they at all times comply with their licence conditions under the applicable acts, ordinances and circulars.

To comply with their licence conditions, banks and securities dealers must meet all their obligations under the relevant acts, ordinances and FINMA circulars at all times.

These are:

Questions of interpretation frequently arise regarding the legal documents that set out the licence conditions. Answers and further assistance can be found here:

When changes occur that affect their licence, banks and securities dealers must observe reporting requirements or licensing and approval requirements.

Liquidity calculation template LCR_G

Calculation template for FINMA-Circ. 2015/2

Updated: 16.12.2014 Size: 1,38  MB
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Berechnungsvorlage Liquidität LCR_GO

Berechnungsvorlage zum FINMA Rundschreiben 2015/2

Updated: 15.11.2017 Size: 0,2  MB
  • Language(s):
  • DE
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