Requirements for supervised banks and securities firms
FINMA supervises banks and securities firms 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 firms 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 firms must observe reporting requirements or licensing and approval requirements.
