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Regulator Performance Overview
510
85
19
3
5
1
Insurance coverage protecting client deposits and funds
Requirement for client funds to be held separately from company funds
Public registers
Tier 1
Bank; securities firm
High capital requirement (CHF 10m+ for banks/securities firms)
Detailed assessment of regulatory capabilities and effectiveness
Detailed breakdown of the 6 key regulatory performance indicators
Value and prestige of licenses issued by this regulator
This regulator shows excellent performance with an overall score of 85.
Strongest performance in License Value
Transparency Level: Public registers
Global Tier: tier1
The Swiss Financial Market Supervisory Authority (FINMA) is the primary regulatory body responsible for overseeing and supervising the Swiss financial market. FINMA's launch in 2009 came from the merger of three organizations: the Federal Banking Commission (EBK), the Federal Office of Private Insurance (BPV), and the Swiss Federal Office of Anti-Money Laundering Control Authority.
The establishment of one consolidated state authority represented an essential step toward harmonizing financial supervision in Switzerland and reaffirming the country's status as one of the most trusted financial centres in the world.
FINMA is an independent supervisory authority, free from political ties, and is responsible for ensuring that Switzerland's financial system operates correctly. The Authority's purpose extends beyond regulation; it is charged with protecting creditors, investors, and policyholders, as well as ensuring the stable, competitive, and transparent functioning of the financial markets.
Protection against negative account balances in trading
Access to qualified investment professionals and advisory services
Government-regulated
Per local law; typical sanctions
Switzerland
Switzerland; cross-border constraints
Per local law; typical sanctions
Via banks/securities firms only
Online portal available (https://www.finma.ch/en/finma-public/authorised-institutions-individuals-and-products/)
FINMA complaints/ombuds
1:100
5 instruments
Contact regulator for details
International Organization of Securities Commissions
Member of the global body that brings together the world's securities regulators
Access to international regulatory standards, cooperation frameworks, and best practices
Financial Action Task Force
Member of the inter-governmental body that sets standards for combating money laundering
Commitment to international standards for anti-money laundering and counter-terrorism financing
Effectiveness of regulatory framework and enforcement
Institutional strength and organizational capability
Risk assessment and management protocols
Investor protection measures and safeguards
Client fund protection and insurance coverage
Forex, Stocks, Derivatives, Securities, Futures
Brokers authorized and regulated by this authority
Hong Kong
Switzerland
United Kingdom+4 more licensesHong KongUnited KingdomSwitzerland+2 more licensesHong Kong
United StatesUnited Kingdom+1 more licensesUnited Kingdom
Japan
Italy+2 more licensesSwitzerland
Singapore
LiechtensteinUnited KingdomUnited States+1 more licensesSwitzerland
Germany
FranceSwitzerland
Cyprus
SeychellesSwitzerlandJapanSwitzerlandSwitzerland
