Reporting obligation for insurance intermediaries
The reporting obligation has applied since 1 January 2024 and is therefore already applicable for the 2024 financial year.
Collection of key figures and information
As set out in Article 190b para. 1 ISO, FINMA collects the key figures required for supervision and information on the activities of registered insurance intermediaries on an annual basis.
In the case of individuals in an employment relationship, this survey is conducted via the sole trader, partnership or legal entity in whose name they offer or conclude insurance contracts. See Article 190b para. 2 ISO and Article 183 let. c ISO concerning the employment relationship.
The type and scope of the key figures and information depend on the size, type and risks of the insurance intermediary activity (Art. 190b para. 4 ISO). This categorisation is based on the registration data collected with the follow-up documentation and will be applied for the first time to the survey for the 2025 financial year .
Technical implementing provisions
Article 190b para. 5 ISO gives FINMA the authority to issue technical implementing provisions for reporting. Article 93 of the FINMA Insurance Ordinance (ISO-FINMA; SR 961.011.1) states that
the insurance intermediaries must submit the report for the past financial year (reference date is the end of the financial year: 31 December 20xx) to FINMA by 31 May of the following year at the latest; and
FINMA shall define and publish the key figures and information to be collected for the following financial year by 30 September at the latest.
The submission of key figures and information takes place via the survey and application platform (EHP) by 31 May at the latest. For this purpose, FINMA sends a survey form to the insurance intermediaries in mid-December each year.
FINMA collects key figures and information from tied insurance intermediaries indirectly as part of its regular supervisory activities regarding insurance companies.
Questions relating to the reporting obligation should be sent to the following email address: vermittler.aufsicht@finma.ch
Reporting for the 2024 financial year
For the 2024 financial year, FINMA is conducting a reduced survey to obtain initial key information for the supervision of insurance intermediaries. The table linked below lists the key figures and information that FINMA is collecting from registered insurance intermediaries for the 2024 financial year.
Insurance intermediaries will be informed in mid-December that the survey will be published on the EHP. They will also receive a data entry aid. The survey must be submitted by 31 May 2025.
Questions relating to the reporting obligation should be sent to the following email address: vermittler.aufsicht@finma.ch
Reporting for the 2025 financial year – announcement
FINMA will conduct a new survey for the 2025 financial year. It is envisaged that the key figures and information to be submitted will largely correspond to those for the 2024 financial year.
However, FINMA will apply the requirements of Article 190b para. 4 ISO as far as possible for the 2025 financial year and therefore take into account the size, type and risks of the insurance intermediary activity in the survey. In particular, FINMA will take into account the client segments in which the insurance intermediaries operate. The updated information for this will be taken from the reporting for the 2024 financial year. It is thus focused on the need to protect policyholders. This is also in line with FINMA’s client protection-based supervisory approach.
FINMA reserves the right to make selective adjustments to the scope of the survey, should important findings emerge for supervision when evaluating the survey for the 2024 financial year.
Questions relating to the reporting obligation should be sent to the following email address: vermittler.aufsicht@finma.ch
