1 L’institut da finanzas e las persunas incumbensadas cun l’administraziun e cun la gestiun da l’institut da finanzas ston garantir in’activitad commerziala irreproschabla.
2 Las persunas incumbensadas cun l’administraziun e cun la gestiun da l’institut da finanzas ston ultra da quai avair ina buna reputaziun e posseder las qualificaziuns professiunalas ch’èn necessarias per la funcziun.
3 Er las persunas ch’èn participadas en moda qualifitgada vi d’in institut da finanzas ston avair ina buna reputaziun e garantir che lur influenza na pregiuditgeschia betg in’activitad commerziala prudenta e solida.
4 Sco participà en moda qualifitgada vi d’in institut da finanzas vala, tgi ch’è participà en moda directa u indirecta cun almain 10 pertschient dal chapital u da las vuschs vi da l’institut da finanzas u tgi che po influenzar decisivamain sia activitad commerziala en autra moda.
5 Mintga persuna sto annunziar a la FINMA, sch’ella vul acquistar u vender ina participaziun qualifitgada directa u indirecta tenor l’alinea 4 vi d’in institut da finanzas. Questa obligaziun d’annunzia exista er, sch’ina participaziun qualifitgada vegn engrondida u reducida uschia ch’ella cuntanscha, surpassa u sutpassa las savas da 20, 33 u 50 pertschient dal chapital u da las vuschs.
6 L’institut da finanzas annunzia a la FINMA las persunas che adempleschan las premissas tenor l’alinea 5, uschespert ch’el ha enconuschientscha da quest fatg.
7 Exceptads dals alineas 5 e 6 èn ils administraturs da facultad ed ils trustees.
8 Tgi ch’è participà en moda qualifitgada vi d’administraturs da facultad e vi da trustees, dastga pratitgar la gestiun.
1 The financial institution and the persons responsible for its administration and management must provide a guarantee of irreproachable business conduct.
2 Moreover, the persons responsible for the administration and management of the financial institution must enjoy a good reputation and have the specialist qualifications required for their functions.
3 Qualified participants in a financial institution must also enjoy a good reputation and ensure that their influence is not detrimental to prudent and sound business activity.
4 Persons who directly or indirectly hold at least 10% of the share capital or votes or who can significantly influence its business activity in another manner are deemed to be qualified participants in a financial institution.
5 Each person must notify FINMA before directly or indirectly acquiring or disposing of a qualified participation in accordance with paragraph 4 in a financial institution. This mandatory notification also applies if a qualified participation is increased or reduced in such a way as to reach, exceed or fall below the thresholds of 20%, 33% or 50% of the share capital or votes.
6 The financial institution shall notify FINMA of the persons who meet the conditions of paragraph 5 as soon as it becomes aware of the same.
7 Portfolio managers and trustees are exempt from the requirements of paragraphs 5 and 6.
8 Qualified participants in portfolio managers and trustees are permitted to perform management duties
Il presente documento non è una pubblicazione ufficiale. Fa unicamente fede la pubblicazione della Cancelleria federale. Ordinanza sulle pubblicazioni ufficiali, OPubl.
This document is not an official publication. Only the publication of the Federal Chancellery is legally binding.