1 Pour les intermédiaires financiers visés à l’art. 2, al. 3, qui sont une société suisse du groupe d’un intermédiaire financier au sens de l’art. 2, al. 2, let. a à dquater, la FINMA peut prévoir que le rapport d’audit du groupe atteste du respect des obligations définies au chapitre 2.158
2 La FINMA publie une liste des sociétés de groupe au sens de l’al. 1.
157 Introduit par l’annexe ch. II 15 de la LF du 15 juin 2018 sur les établissements financiers, en vigueur depuis le 1er janv. 2020 (RO 2018 5247, 2019 4631; FF 2015 8101).
158 Nouvelle teneur selon le ch. I 8 de la LF du 25 sept. 2020 sur l’adaptation du droit fédéral aux développements de la technologie des registres électroniques distribués, en vigueur depuis le 1er août 2021 (RO 2021 33, 399; FF 2020 223).
1 The self-regulatory organisations and FINMA may mutually exchange any information or documents that they require in order to fulfil their duties.
2 The self-regulatory organisations shall notify FINMA of:
3 They shall provide FINMA with a report at least once each year on their activities in terms of this Act together with a list of decisions on sanctions issued during the period covered by the report.
4 They shall immediately submit a report to the Reporting Office if they have reasonable grounds to suspect that:162
5 The duty under paragraph 4 does not apply if a report has already been filed by a financial intermediary affiliated to a self-regulatory organisation.
160 Amended by Annex No 17 of the Financial Market Supervision Act of 22 June 2007, in force since 1 Jan. 2009 (AS 2008 5207; BBl 2006 2829).
161 Amended by No I of the FA of 19 March 2021, in force since 1 Jan. 2023 (AS 2021 656; 2022 551; BBl 2019 5451).
162 Amended by Annex 2 No 3 of the FA of 19 March 2021, in force since 1 Jan. 2023 (AS 2021 656; 2022 551; BBl 2019 5451).
163 Amended by Annex No II 6 of the FedD of 25 Sept. 2020 on the Approval and Implementation of the Council of Europe Convention on the Prevention of Terrorism and its Additional Protocol and the Strengthening of Criminal Justice Instruments for combating Terrorism and Organised Crime, in force since 1 July 2021 (AS 2021 360; BBl 2018 6427).
165 Amended by No I 7 of the FA of 12 Dec. 2014 on the Implementation of the 2012 revision of the Recommendations of the Financial Action Task Force, in force since 1 Jan. 2016 (AS 2015 1389; BBl 2014 605).
166 Amended by Annex No II 6 of the FedD of 25 Sept. 2020 on the Approval and Implementation of the Council of Europe Convention on the Prevention of Terrorism and its Additional Protocol and the Strengthening of Criminal Justice Instruments for combating Terrorism and Organised Crime, in force since 1 July 2021 (AS 2021 360; BBl 2018 6427).
167 Inserted by No I 4 of the FA of 3 Oct. 2008 on the Implementation of the revised Recommendations of the Financial Action Task Force, in force since 1 Feb. 2009 (AS 2009 361; BBl 2007 6269).
Ceci n’est pas une publication officielle. Seule la publication opérée par la Chancellerie fédérale fait foi. Ordonnance sur les publications officielles, OPubl.
This document is not an official publication. Only the publication of the Federal Chancellery is legally binding.