Federal Act of 15 June 2018 on Financial Institutions (Financial Institutions Act, FinIA) - Lescha federala dals 15 da zercladur 2018 davart ils instituts da finanzas (Lescha davart ils instituts da finanzas, LIFin)

Internal Law 9 Economy - Technical cooperation 95 Credit

Dretg naziunal 9 Economia - Cooperaziun tecnica 95 Credits

954.1 Federal Act of 15 June 2018 on Financial Institutions (Financial Institutions Act, FinIA)

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954.1 Lescha federala dals 15 da zercladur 2018 davart ils instituts da finanzas (Lescha davart ils instituts da finanzas, LIFin)

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Art. 1 Subject matter and purpose

Art. 1 Object ed intent

Art. 2 Scope of application

Art. 2 Champ d’applicaziun

Art. 3 Commerciality

Art. 3 Pratica d’ina activitad a titel professiunal

Art. 4 Group parent companies and significant group companies

Art. 4 Societads superiuras da concern e societads da gruppa impurtantas

Art. 5 Duty to obtain authorisation

Art. 5 Obligaziun da dumandar ina permissiun

Art. 6 Authorisation chain

Art. 6 Cascada da permissiuns

Art. 7 7 Authorisation conditions

Art. 7 Premissas per la permissiun

Art. 8 Change in facts

Art. 8 Midada dals fatgs

Art. 9 Organisation

Art. 9 Organisaziun

Art. 10 Place of management

Art. 10 Lieu da la direcziun

Art. 11 Guarantee of irreproachable business conduct

Art. 11 Garanzia

Art. 12 Public offer of securities on the primary market

Art. 12 Purschida publica da valurs mobigliaras sin il martgà primar

Art. 13 Protection against confusion and deception

Art. 13 Protecziun cunter scumbigl e cunter engion

Art. 14 Delegation of tasks

Art. 14 Transferiment d’incumbensas

Art. 15 International business

Art. 15 Fatschenta a l’exteriur

Art. 16 Ombudsman

Art. 16 Servetsch da mediaziun

Art. 17 Definitions

Art. 17 Definiziuns

Art. 18 Legal form

Art. 18 Furma giuridica

Art. 19 Incumbensas

Art. 20 Qualified managers

Art. 20 Gestiunaris qualifitgads

Art. 21 Risk management and internal control

Art. 21 Management da las ristgas e controlla interna

Art. 22 Minimum capital and collateral

Art. 22 Chapital minimal e garanzias

Art. 23 Own funds

Art. 23 Agens meds finanzials

Art. 24 Definition

Art. 24 Definiziun

Art. 25 Legal form

Art. 25 Furma giuridica

Art. 26 Incumbensas

Art. 27 Delegation of tasks

Art. 27 Transferiment d’incumbensas

Art. 28 Minimum capital and collateral

Art. 28 Chapital minimal e garanzias

Art. 29 Own funds

Art. 29 Agens meds finanzials

Art. 30 Group and conglomerate supervision

Art. 30 Surveglianza da gruppas e da conglomerats

Art. 31 Change of manager of collective assets

Art. 31 Midada da l’administratur da facultads collectivas

Art. 32 Definition

Art. 32 Definiziun

Art. 33 Legal form and organisation

Art. 33 Furma giuridica ed organisaziun

Art. 34 Incumbensas

Art. 35 Delegation of tasks

Art. 35 Transferiment d’incumbensas

Art. 36 Minimum capital

Art. 36 Chapital minimal

Art. 37 Own funds

Art. 37 Agens meds finanzials

Art. 39 Change of fund management company

Art. 39 Midada da la direcziun da fonds

Art. 40 Segregation of the fund assets

Art. 40 Excorporaziun da la facultad dal fond

Art. 41 Definition

Art. 41 Definiziun

Art. 42 Legal form

Art. 42 Furma giuridica

Art. 43 Foreign-controlled securities firms

Art. 43 Chasas da vaglias sut domini ester

Art. 44 Incumbensas

Art. 45 Minimum capital and collateral

Art. 45 Chapital minimal e garanzias

Art. 46 Own funds, liquidity and risk diversification

Art. 46 Agens meds finanzials, liquiditad e repartiziun da las ristgas

Art. 47 Additional capital

Art. 47 Chapital supplementar

Art. 48 Accounting

Art. 48 Rendaquint

Art. 49 Group and conglomerate supervision

Art. 49 Surveglianza da gruppas e da conglomerats

Art. 50 Record-keeping duty

Art. 50 Obligaziun da far registraziuns

Art. 51 Reporting duty

Art. 51 Obligaziun d’annunzia

Art. 52 Duty to obtain authorisation

Art. 52 Obligaziun da dumandar ina permissiun

Art. 53 Authorisation conditions

Art. 53 Premissas per la permissiun

Art. 54 Requirement of reciprocity

Art. 54 Reciprocitad

Art. 55 Financial groups and financial conglomerates

Art. 55 Gruppas da finanzas e conglomerats da finanzas

Art. 56 Collateral

Art. 56 Garanzias

Art. 57 Exemptions

Art. 57 Regulaziun excepziunala

Art. 58 Duty to obtain authorisation

Art. 58 Obligaziun da dumandar ina permissiun

Art. 59 Authorisation conditions

Art. 59 Premissas per la permissiun

Art. 60 Exemptions

Art. 60 Regulaziun excepziunala

Art. 61 Competence

Art. 61 Cumpetenza

Art. 62 Auditing of portfolio managers and trustees

Art. 62 Verificaziun dals administraturs da facultad e dals trustees

Art. 63 Auditing of managers of collective assets, fund management companies, securities firms, financial groups and financial conglomerates

Art. 63 Verificaziun dals administraturs da facultads collectivas, da las direcziuns da fonds, da las chasas da vaglias, da las gruppas da finanzas e dals conglomerats da finanzas

Art. 64 Duty to provide information and to report in the case of delegation of significant functions

Art. 64 Obligaziun da dar infurmaziuns ed obligaziun d’annunzia en cas d’in transferiment da funcziuns essenzialas

Art. 65 Suspension of voting rights

Art. 65 Suspensiun dal dretg da votar

Art. 66 Liquidation

Art. 66 Liquidaziun

Art. 67 Measures under insolvency law

Art. 67 Mesiras dal dretg d’insolvenza

Art. 69 Violation of professional confidentiality

Art. 69 Violaziun dal secret professiunal

Art. 70 Violation of the provisions on protection against confusion and deception and notification duties

Art. 70 Violaziun da las disposiziuns davart la protecziun cunter scumbigl e cunter engion sco er da las obligaziuns d’annunzia

Art. 71 Violation of the record-keeping and reporting duties

Art. 71 Violaziun da las obligaziuns da far registraziuns e d’annunzia

Art. 72 Implementing provisions

Art. 72 Disposiziuns executivas

Art. 73 Repeal and amendment of other legislative instruments

Art. 73 Aboliziun e midada d’auters decrets

Art. 74 Transitional provisions

Art. 74 Disposiziuns transitoricas

Art. 74a Coordination with the Amendment of the Anti-Money Laundering Act within the context of the Gambling Act of 29 September 2017

Art. 74a Coordinaziun cun la midada da la Lescha davart la lavada da daners suspectus en il rom da la Lescha da gieus per daners dals 29 da settember 2017

Art. 75 Referendum and commencement

Art. 75 Referendum ed entrada en vigur

This document is not an official publication. Only the publication of the Federal Chancellery is legally binding.
Il presente documento non è una pubblicazione ufficiale. Fa unicamente fede la pubblicazione della Cancelleria federale. Ordinanza sulle pubblicazioni ufficiali, OPubl.