Dretg naziunal 9 Economia - Cooperaziun tecnica 95 Credits
Internal Law 9 Economy - Technical cooperation 95 Credit

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

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Preface
Preface
Preambel
Preamble
Art. 1 Object ed intent
Art. 1 Subject matter and purpose
Art. 2 Champ d’applicaziun
Art. 2 Scope of application
Art. 3 Pratica d’ina activitad a titel professiunal
Art. 3 Commerciality
Art. 4 Societads superiuras da concern e societads da gruppa impurtantas
Art. 4 Group parent companies and significant group companies
Art. 5 Obligaziun da dumandar ina permissiun
Art. 5 Duty to obtain authorisation
Art. 6 Cascada da permissiuns
Art. 6 Authorisation chain
Art. 7 Premissas per la permissiun
Art. 7 7 Authorisation conditions
Art. 8 Midada dals fatgs
Art. 8 Change in facts
Art. 9 Organisaziun
Art. 9 Organisation
Art. 10 Lieu da la direcziun
Art. 10 Place of management
Art. 11 Garanzia
Art. 11 Guarantee of irreproachable business conduct
Art. 12 Purschida publica da valurs mobigliaras sin il martgà primar
Art. 12 Public offer of securities on the primary market
Art. 13 Protecziun cunter scumbigl e cunter engion
Art. 13 Protection against confusion and deception
Art. 14 Transferiment d’incumbensas
Art. 14 Delegation of tasks
Art. 15 Fatschenta a l’exteriur
Art. 15 International business
Art. 16 Servetsch da mediaziun
Art. 16 Ombudsman
Art. 17 Definiziuns
Art. 17 Definitions
Art. 18 Furma giuridica
Art. 18 Legal form
Art. 19 Incumbensas
Art. 19 Tasks
Art. 20 Gestiunaris qualifitgads
Art. 20 Qualified managers
Art. 21 Management da las ristgas e controlla interna
Art. 21 Risk management and internal control
Art. 22 Chapital minimal e garanzias
Art. 22 Minimum capital and collateral
Art. 23 Agens meds finanzials
Art. 23 Own funds
Art. 24 Definiziun
Art. 24 Definition
Art. 25 Furma giuridica
Art. 25 Legal form
Art. 26 Incumbensas
Art. 26 Tasks
Art. 27 Transferiment d’incumbensas
Art. 27 Delegation of tasks
Art. 28 Chapital minimal e garanzias
Art. 28 Minimum capital and collateral
Art. 29 Agens meds finanzials
Art. 29 Own funds
Art. 30 Surveglianza da gruppas e da conglomerats
Art. 30 Group and conglomerate supervision
Art. 31 Midada da l’administratur da facultads collectivas
Art. 31 Change of manager of collective assets
Art. 32 Definiziun
Art. 32 Definition
Art. 33 Furma giuridica ed organisaziun
Art. 33 Legal form and organisation
Art. 34 Incumbensas
Art. 34 Tasks
Art. 35 Transferiment d’incumbensas
Art. 35 Delegation of tasks
Art. 36 Chapital minimal
Art. 36 Minimum capital
Art. 37 Agens meds finanzials
Art. 37 Own funds
Art. 38 Dretgs
Art. 38 Rights
Art. 39 Midada da la direcziun da fonds
Art. 39 Change of fund management company
Art. 40 Excorporaziun da la facultad dal fond
Art. 40 Segregation of the fund assets
Art. 41 Definiziun
Art. 41 Definition
Art. 42 Furma giuridica
Art. 42 Legal form
Art. 43 Chasas da vaglias sut domini ester
Art. 43 Foreign-controlled securities firms
Art. 44 Incumbensas
Art. 44 Tasks
Art. 45 Chapital minimal e garanzias
Art. 45 Minimum capital and collateral
Art. 46 Agens meds finanzials, liquiditad e repartiziun da las ristgas
Art. 46 Own funds, liquidity and risk diversification
Art. 47 Chapital supplementar
Art. 47 Additional capital
Art. 48 Rendaquint
Art. 48 Accounting
Art. 49 Surveglianza da gruppas e da conglomerats
Art. 49 Group and conglomerate supervision
Art. 50 Obligaziun da far registraziuns
Art. 50 Record-keeping duty
Art. 51 Obligaziun d’annunzia
Art. 51 Reporting duty
Art. 52 Obligaziun da dumandar ina permissiun
Art. 52 Duty to obtain authorisation
Art. 53 Premissas per la permissiun
Art. 53 Authorisation conditions
Art. 54 Reciprocitad
Art. 54 Requirement of reciprocity
Art. 55 Gruppas da finanzas e conglomerats da finanzas
Art. 55 Financial groups and financial conglomerates
Art. 56 Garanzias
Art. 56 Collateral
Art. 57 Regulaziun excepziunala
Art. 57 Exemptions
Art. 58 Obligaziun da dumandar ina permissiun
Art. 58 Duty to obtain authorisation
Art. 59 Premissas per la permissiun
Art. 59 Authorisation conditions
Art. 60 Regulaziun excepziunala
Art. 60 Exemptions
Art. 61 Cumpetenza
Art. 61 Competence
Art. 62 Verificaziun dals administraturs da facultad e dals trustees
Art. 62 Auditing of portfolio managers and trustees
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. 63 Auditing of managers of collective assets, fund management companies, securities firms, financial groups and financial conglomerates
Art. 64 Obligaziun da dar infurmaziuns ed obligaziun d’annunzia en cas d’in transferiment da funcziuns essenzialas
Art. 64 Duty to provide information and to report in the case of delegation of significant functions
Art. 65 Suspensiun dal dretg da votar
Art. 65 Suspension of voting rights
Art. 66 Liquidaziun
Art. 66 Liquidation
Art. 67 Mesiras dal dretg d’insolvenza
Art. 67 Measures under insolvency law
Art. 68
Art. 68
Art. 69 Violaziun dal secret professiunal
Art. 69 Violation of professional confidentiality
Art. 70 Violaziun da las disposiziuns davart la protecziun cunter scumbigl e cunter engion sco er da las obligaziuns d’annunzia
Art. 70 Violation of the provisions on protection against confusion and deception and notification duties
Art. 71 Violaziun da las obligaziuns da far registraziuns e d’annunzia
Art. 71 Violation of the record-keeping and reporting duties
Art. 72 Disposiziuns executivas
Art. 72 Implementing provisions
Art. 73 Aboliziun e midada d’auters decrets
Art. 73 Repeal and amendment of other legislative instruments
Art. 74 Disposiziuns transitoricas
Art. 74 Transitional provisions
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. 74a Coordination with the Amendment of the Anti-Money Laundering Act within the context of the Gambling Act of 29 September 2017
Art. 75 Referendum ed entrada en vigur
Art. 75 Referendum and commencement
 

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.