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Authorisation – gaining entry to the financial market

Many financial services in the Swiss market require authorisation, which in most cases, is granted by FINMA. Under certain circumstances, service providers can join a private self-regulatory organisation instead.

Any individual or company seeking to take money from investors, underwrite insurance policies, or set up and manage a collective investment scheme requires authorisation from FINMA. Only where statutory requirements have been met are licences issued. Financial institutions which do not fulfil the requirements, are inadequately organised, fail to disclose their ownership structure or have a dubious reputation will not be authorised. Once issued with a licence, companies can commence their business activities.

Authorised companies are then supervised. FINMA supervision varies in intensity. Depending on the legal provisions, it can range from intensive, ongoing supervision to a simple act of registration, after which FINMA will only step in if it receives reports of inappropriate conduct.


Types of licences and intensity of supervision

Search

To check whether an individual, a company or a financial product has been authorised, you can search for the name here to see if it is listed among our authorised banks, insurers and collective investment schemes.

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Lists

FINMA keeps lists of all authorised institutions and investment funds. These are regularly updated. Possibly, however, a supervised institution has been authorised but is not yet included in the list. Similarly, a supervised institution may still feature on the list even though it has lost its authorisation.

Authorised banks and securities dealers

List of banks and securities dealers authorised by FINMA

Updated: 21.06.2018 Size: 0,05  MB
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List of banks and securities dealers authorised by FINMA

Updated: 21.06.2018 Size: 0,13  MB
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List of Raiffeisen banks authorised by FINMA

Updated: 21.06.2018 Size: 0,04  MB
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List of Raiffeisen banks authorised by FINMA

Updated: 21.06.2018 Size: 0,11  MB
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List of representative offices of foreign banks and securities dealers authorised by FINMA

Updated: 21.06.2018 Size: 0,04  MB
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List of representative offices of foreign banks and securities dealers authorised by FINMA

Updated: 21.06.2018 Size: 0,11  MB
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List of banks and securities dealers about to cease operations

Updated: 21.06.2018 Size: 0,03  MB
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List of banks and securities dealers about to cease operations

Updated: 21.06.2018 Size: 0,08  MB
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Insurers

List of insurance companies authorised by FINMA

Updated: 21.06.2018 Size: 0,08  MB
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List of insurance companies authorised by FINMA

Updated: 21.06.2018 Size: 0,19  MB
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List of insurance groups authorised by FINMA (groups and conglomerates)

Updated: 21.06.2018 Size: 0,03  MB
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List of insurance groups authorised by FINMA (groups and conglomerates)

Updated: 21.06.2018 Size: 0,07  MB
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Liste aller liechtensteinischen Versicherungsunternehmen, welche im freien Dienstleistungsverkehr und/oder über eine Niederlassung in der Schweiz tätig sind

Updated: 28.12.2017 Size: 0,19  MB
  • Language(s):
  • DE
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Institutions and products subject to the Collective Investment Schemes Act

List of Swiss collective investment schemes authorised by FINMA

Updated: 21.06.2018 Size: 0,21  MB
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List of Swiss collective investment schemes authorised by FINMA

Updated: 21.06.2018 Size: 0,66  MB
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List of foreign collective investment schemes authorised by FINMA for distribution in or from Switzerland

Updated: 21.06.2018 Size: 0,6  MB
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List of foreign collective investment schemes authorised by FINMA for distribution in or from Switzerland

Updated: 21.06.2018 Size: 1,62  MB
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List of fund management companies, representatives of foreign collective investment schemes and distributors of collective investment schemes

Updated: 21.06.2018 Size: 0,06  MB
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List of fund management companies, representatives of foreign collective investment schemes and distributors of collective investment schemes

Updated: 21.06.2018 Size: 0,15  MB
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List of recognised digital platforms under Article 39 CISO

Updated: 14.06.2017 Size: 0,07  MB
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Liste der anerkannten elektronischen Plattformen im Sinne von Art. 39 KKV

Updated: 14.06.2017 Size: 0,22  MB
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List of asset managers of collective investments authorised by FINMA

Updated: 21.06.2018 Size: 0,04  MB
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List of asset managers of collective investments authorised by FINMA

Updated: 21.06.2018 Size: 0,1  MB
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Stock exchange and financial market infrastructures

List of authorised and recognised financial market infrastructures and foreign participants

Updated: 21.06.2018 Size: 0,05  MB
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List of authorised foreign participants, Swiss stock exchanges, multilalteral trading facilities (MTFs) and recognised foreign trading venues

Updated: 21.06.2018 Size: 0,12  MB
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Money laundering

  • Search for SRO members

To prevent money laundering, certain types of financial intermediaries are supervised directly by FINMA (DSFIs), which are also listed. Under the Anti-Money Laundering Act (AMLA), there is also an option for indirect supervision via a self-regulatory organisation (SRO). By searching the members’ lists, you can see whether a financial intermediary belongs to one of these SROs.

List of directly supervised financial intermediaries (DSFIs)

Updated: 21.06.2018 Size: 0,04  MB
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List of directly supervised financial intermediaries (DSFIs)

Updated: 21.06.2018 Size: 0,1  MB
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List of group companies

Updated: 21.06.2018 Size: 0,04  MB
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List of group companies

Updated: 21.06.2018 Size: 0,1  MB
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List of self-regulatory organisations (SROs)

Updated: 21.06.2018 Size: 0,03  MB
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List of self-regulatory organisations (SROs)

Updated: 21.06.2018 Size: 0,08  MB
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Central mortgage bond institutions subject to the Mortgage Bond Act (MBA)

List of Swiss central mortgage bond institutions authorised by the Federal Council and supervised by FINMA under FINMASA and the MBA

Updated: 20.02.2018 Size: 0,08  MB
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Auditors

For authorised audit firms, please use the register provided on the website of the Federal Audit Oversight Authority (FAOA).

Rating agencies

List of rating agencies recognised by FINMA

Updated: 16.10.2017 Size: 0,25  MB
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Mapping

Updated: 30.01.2013 Size: 0,25  MB
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Mapping SA-CH and SA-BIZ (securisation)

Updated: 30.01.2013 Size: 0,16  MB
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Mapping IRB (securisation)

Updated: 30.01.2013 Size: 0,12  MB
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Insurance intermediaries

  • Register of insurance intermediaries

Insurance intermediaries are brokers who offer insurance contracts, for example on behalf of insurance companies. Insurance intermediaries are not supervised by FINMA, but they can have their names entered in a register kept by FINMA. Independent insurance intermediaries must be on this register. Intermediaries who are tied to an insurance company have the right to be entered.

Contact

In you are in any doubt, contact the following address to find out whether a service provider has been authorised to operate:

Swiss Financial Market Supervisory Authority FINMA
Laupenstrasse 27
CH – 3003 Bern

HOTLINE: +41 31 327 98 88
Monday to Friday, 8 a.m. – 12 noon

Email: questions@finma.ch