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Swiss Financial Market Regulators & Laws

In: Swiss Finance

Author

Listed:
  • Henri B. Meier
  • John E. Marthinsen

    (Babson College)

  • Pascal A. Gantenbein

    (University of Basel)

  • Samuel S. Weber

    (SSW, Independent Wealth Manager)

Abstract

Swiss financial intermediaries are regulated by an assortment of interconnected federal and cantonal laws and authorities. The Financial Market Supervisory Authority (FINMA) is Switzerland's primary financial regulator, but it is supported by regulatory powers, such as the Swiss National Bank. The FINMA regulates banks, security exchanges, other financial market infrastructures, securities firms, collective investment schemes, insurance companies, mortgage issuance banks, fund management companies, asset managers and trustees, and trade assayers. Its responsibilities include fighting money laundering, ensuring financial transparency, resolving conflicts, and ensuring that financial institutions’ self-regulatory activities meet at least minimum standards. It also licenses banks operating in or from Switzerland. During the twenty-first century, the Swiss government passed significant legislation that laid the foundation and changed the competitive landscape for Swiss financial institutions.

Suggested Citation

  • Henri B. Meier & John E. Marthinsen & Pascal A. Gantenbein & Samuel S. Weber, 2023. "Swiss Financial Market Regulators & Laws," Springer Books, in: Swiss Finance, edition 2, chapter 0, pages 251-296, Springer.
    • Handle: RePEc:spr:sprchp:978-3-031-23194-0_5
    DOI: 10.1007/978-3-031-23194-0_5
    as

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