FinIO-FINMA

By Steph3

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In The Matter OfFinIO-FINMA

Exhibit A

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Home 1 Portfolio Managers And Trustees 2 Managers Of Collective Assets 3 Fund Management Companies 4 Financial And Regulatory Audits For Managers 5 Capital Statement Of Securities Firms That Do 6 Form Of Submission 7 Final Provisions

(Art. 46 para. 5 FinIA)

English is not an official language of the Swiss Confederation. This translation is provided for information purposes only and has no legal force.

Art. 23

1 Securities firms that do not hold accounts in accordance with Article 44 paragraph 1 letter a FinIA must provide FINMA with evidence on a quarterly basis that they have adequate capital. 2 The capital statement on a consolidated basis must be provided every six months. 3 The evidence must be submitted within six weeks of the end of the quarter or half-year.

Official text on Fedlex — consolidation of 1 January 2021

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