FinIO-FINMA
FinIO-FINMA
SR 954.111 — Ordinance of 4 November 2020 of the Swiss Financial Market Supervisory Authority on Financial Institutions (FINMA Financial Institutions Ordinance, FinIO-FINMA).
English is not an official language of the Swiss Confederation. This translation is provided for information purposes only and has no legal force. English consolidation of 1 January 2021, which is also the date of the current binding text.
Preamble
The Swiss Financial Market Supervisory Authority (FINMA), based on Article 46 paragraph 5 of the Financial Institutions Act of 15 June 2018 (FinIA), Articles 11, 31 paragraph 3, 34 paragraph 4, 41 paragraph 9, 44 paragraph 3, 57 paragraph 8 of the Financial Institutions Ordinance of 6 November 2019 (FinIO) andon Article 5 paragraph 5 of the Financial Market Auditing Ordinance of 5 November 2014 (FINMA-PV), ordains:
SR 954.1 SR 954.11 SR 956.161
Contents
1. Portfolio Managers and Trustees — 4 articles 2. Managers of Collective Assets — 13 articles 3. Fund Management Companies — 1 article 4. Financial and Regulatory Audits for Managers of Collective Assets and Fund Management Companies — 4 articles 5. Capital Statement of Securities Firms that do not Hold Accounts — 1 article 6. Form of Submission — 1 article 7. Final Provisions — 3 articles