FINMA Circulars

FINMA Circulars

Overview of FINMA circulars applicable to financial institutions in Switzerland for which an English translation is available, either by FINMA itself or by KPMG.

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FINMA Circular

Circular 2017/7 Credit risks - banks (amended 07.12.2016)

Circular 2017/6 Direct transmission (amended 08.12.2016)

Circular 2017/2 Corporate governance - insurers (07.12.2016)

Circular 2017/1 Corporate governance - banks (amended 22.09.2016)

Circular 2016/7 Video and Online Identification (amended 03.03.2016)

Circular 2016/5 Investment Guidelines - Insurance Companies (amended 03.12.2015)

Circular 2016/4 Insurance Groups and conglomerates (amended 03.12.2015)

Circular 2016/3 ORSA (amended 03.12.2015)

Circular 2016/2 Disclosure - Insurers (amended 31.03.2017)

Circular 2015/3 Leverage Ratio (amended 29.10.2014)

Circular 2015/2 Liquidity Risks - Banks (amended 03.07.2015)

Circular 2015/1 Accounting - Banks (amended 27.03.2015)

Circular 2013/9 Distribution of collective investment schemes (amended 20.09.2013)

Circular 2013/8 Market conduct rules (amended 05.09.2013)

Circular 2013/7 Limitation of Intragroup Positions – Banks (amended 29.02.2013)

Circular 2013/5 Liquidity - Insurers (amended 03.12.2015)

Circular 2013/3 Auditing (amended 28.11.2014)

Circular 2013/1 Eligible equity capital – Banks (amended 27.03.2014)

Circular 2012/1 Credit rating agencies (amended 24.10.2014)

Circular 2011/2 Capital buffer and capital planning – Banks (amended 01.01.2013)

Circular 2010/2 Repo/SLB transactions (amended 03.07.2014)

Circular 2010/1 Remuneration schemes (amended 03.12.2015)

Circular 2009/1 Guidelines on asset management (amended 10.06.2016)

Circular 2008/44 SST (amended 03.12.2015)

Circular 2008/24 Supervision and Internal Control – Banks (amended 06.12.2012)

Circular 2008/23 Risk diversification – Banks (amended 18.09.2013)

Circular 2008/22 Disclosure – Banks (amended 29.10.2014)

Circular 2008/21 Operational Risks Banks (amended 22.09.2016)

Circular 2008/20 Market risks – Banks (amended 18.09.2013)

Circular 2008/19 Credit risks – Banks (amended 18.09.2013)

Circular 2008/17 Exchange of information between SROs and FINMA (amended 20.10.2010)

Circular 2008/14 Supervisory reporting – Banks (amended July 2015)

Circular 2008/11 Disclosure requirements for securities transactions (amended 13.09.2013)

Circular 2008/10 Self-regulation as a minimum standard (amended 01.01.2016)

Circular 2008/7 Outsourcing – Banks (amended 06.12.2012)

Circular 2008/6 Interest-rate risks – Banks (amended 06.12.2012)

Circular 2008/5 Securities dealers (amended 20.11.2008)

Circular 2008/4 Securities journals (in force until 31.12.2017)

Circular 2008/4 Securities journals (in force as at 01.01.2018)

Circular 2008/3 Public deposits at non-banks (amended 18.01.2010)

Circular 2008/1 Authorization and Notification Requirements – Banks (amended 01.01.2013)

Financial market legislation

Financial market legislation

Laws, ordinances and FINMA circulars for financial intermediaries (banks, securities dealers, fund management co., funds under CISA, insurers, etc.).

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