Swiss Financial Market Supervisory Authority

Country

Switzerland

Jurisdiction

Government Reg.

Established in

2007

Overall Rating

Licensed Brokers

Public registers

Transparency Index

Tier 1

Global Tier

IOSCO Member

FATF Member

Key Performance Indicators

Total Rating

510

Total cumulative score across all categories

Average Rating

Average score across all performance metrics

Years Active

Years of regulatory operation

Active Licenses

Currently active licenses

Regulated Instruments

Types of financial instruments

Geographical Coverage

Countries under jurisdiction

Client Protection Details

Client Fund Insurance

Insurance coverage protecting client deposits and funds

✓

Status:Deposit insurance covers up to CHF 100,000 per depositor

Coverage: Deposit insurance covers up to CHF 100,000 per depositor

Account Managed Separately

Requirement for client funds to be held separately from company funds

✗

Status:Not Supported

Negative Balance Protection

Protection against negative account balances in trading

✗

Status:Not Supported

Investment Professional Support

Access to qualified investment professionals and advisory services

✗

Status:Not Available

Operational Metrics

compliance

Transparency Level

Public registers

market

Market Position

Tier 1

regulatory

Regulatory Approach

Government-regulated

Coverage

Prohibited Countries

Per local law; typical sanctions

Compliance Status

IOSCO Membership

Member of International Organization of Securities Commissions

✓ Compliant

FATF Membership

Financial Action Task Force compliance

✓ Compliant

Fund Insurance

Client fund protection schemes available

✓ Compliant

Account Managed Separately

Mandatory client account segregation

✗ Not Available

Regulatory Performance Scores

Detailed assessment of regulatory capabilities and effectiveness

Excellent

85SCORE

Overall Rating

Excellent

Excellence Rate

Highest Score

Above Average

Regulatory Support Features

Negative Balance Protection

Not Supported

Investment Professional

Not Supported

Account Managed Separately

Not Supported

Core Performance Metrics

Detailed breakdown of the 6 key regulatory performance indicators

License Value

Value and prestige of licenses issued by this regulator

out of 100

Excellent

Regulatory

Effectiveness of regulatory framework and enforcement

out of 100

Excellent

Institutional

Institutional strength and organizational capability

out of 100

Excellent

Risk Management

Risk assessment and management protocols

out of 100

Excellent

Investment Protection

Investor protection measures and safeguards

out of 100

Good

Client Fund Insurance Rating

Client fund protection and insurance coverage

out of 100

Good

Performance Summary

This regulator shows excellent performance with an overall score of 85.

Strongest performance in License Value

Transparency Level: Public registers

Global Tier: tier1

IOSCO Member

FATF Member

Overall

Swiss Financial Market Supervisory Authority

Country

Switzerland

Jurisdiction

Government Reg.

Established in

2007

Overall Rating

Licensed Brokers

Public registers

Transparency Index

Tier 1

Global Tier

IOSCO Member

FATF Member

About Swiss Financial Market Supervisory Authority

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.

Core Mandate and Responsibilities

FINMA aims to ensure that Switzerland's financial system operates securely and reliably.

As such, it supervises:

• Banks and financial institutions

• Insurance companies

• Securities dealers and exchanges

• Collective investment schemes and their asset managers

• Fund management companies

• Insurance distributors and intermediaries

Through the supervision of these components of the financial industry, FINMA secures market integrity, investor confidence, and reduces systemic risks that could affect the nation's economic stability.

Official Description

Contact Information

Main Site

https://www.finma.ch/

Live chat

https://www.finma.ch/en/finma-public/reporting-information/

Phone

41313279100

Hotline

'+41 31 327 98 88

Email

[email protected]