FINMA, the Swiss financial regulator, deals with the authorization of all companies that seek to conduct activity in the monitored financial sector. FINMA license issuance is a preventative control instrument with which the government defines the necessary level of regulation that FINMA must put into practice for all entities in the market. The license terms must be constantly satisfied by the license holders otherwise they can face a risk of having their licenses revoked.
The licenses that the regulator issues entail the different levels of supervision. Many market participants fall under rigorous supervision after being licensed, while others are provided with once-off registration by the regulator for a range of activities that are not subject to monitoring. Hence, business owners should put emphasis on the type of license issued to a company and the degree of regulation applied to a company’s operation.
The regulator provides the following activities:
If you are interested in getting more information about FINMA licensing, please contact our specialists.