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FINMA Circulars

FINMA Circulars

Overview of FINMA circulars applicable to financial institutions in Switzerland for which an English translation is available, either by FINMA itself or by KPMG.

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FINMA Circular

Circular 2019/02 Interest rate risk - Banks (amended 20.06.2018)

Circular 2019/01 Risk diversification - Banks (amended 07.12.2017)

Circular 2018/03 Outsourcing - Banks and insurance companies (amended 21.09.2017)

Circular 2018/02 Duty to report securities transactions (amended 25.01.2017)

Circular 2018/01 Organized trading facilities (amended 25.01.2017)

Circular 2017/07 Credit risks - banks (amended 21.12.2018)

Circular 2017/06 Direct transmission (amended 08.12.2016)

Circular 2017/03 SST (amended 07.12.2017)

Circular 2017/02 Corporate governance - insurers (07.12.2016)

Circular 2017/01 Corporate governance - banks (amended 22.09.2016)

Circular 2016/07 Video and Online Identification (amended 20.06.2018)

Circular 2016/05 Investment Guidelines - Insurance Companies (amended 03.12.2015)

Circular 2016/04 Insurance Groups and conglomerates (amended 03.12.2015)

Circular 2016/03 ORSA (amended 23.08.2018)

Circular 2016/02 Disclosure - Insurers (amended 22.08.2019)

Circular 2016/01 Disclosure - Banks (amended 20.06.2018)

Circular 2015/03 Leverage Ratio (amended 20.06.2018)

Circular 2015/02 Liquidity Risks - Banks (amended 07.12.2017)

Circular 2015/01 Accounting - Banks (amended 27.03.2015)

Circular 2013/09 Distribution of collective investment schemes (amended 10.09.2013)

Circular 2013/08 Market conduct rules (amended 05.09.2013)

Circular 2013/07 Limitation of Intragroup Positions – Banks (amended 29.05.2013)

Circular 2013/05 Liquidity - Insurers (amended 03.12.2015)

Circular 2013/03 Auditing (20.06.2018), valid from 26.06.2019

Circular 2013/01 Eligible equity capital – Banks (amended 27.03.2014)

Circular 2012/01 Credit rating agencies (amended 24.10.2014)

Circular 2011/02 Capital buffer and capital planning – Banks (amended 20.06.2018)

Circular 2011/01 Activities as a Financial Intermediary as per AMLA (amended 20.10.2010)

Circular 2010/02 Repo/SLB transactions (amended 03.07.2014)

Circular 2010/01 Remuneration schemes (amended 22.09.2016)

Circular 2009/01 Guidelines on asset management (amended 10.06.2016)

Circular 2008/23 Risk diversification – Banks (amended 18.09.2013)

Circular 2008/22 Disclosure – Banks (amended 29.10.2014)

Circular 2008/21 Operational Risks Banks (amended 22.09.2016)

Circular 2008/20 Market risks – Banks (amended 18.09.2013)

Circular 2008/19 Credit risks – Banks (amended 18.09.2013)

Circular 2008/17 Exchange of information between SROs and FINMA (amended 20.10.2010)

Circular 2008/14 Supervisory reporting – Banks (amended 30.11.2018)

Circular 2008/10 Self-regulation as a minimum standard (amended 18.07.2018)

Circular 2008/07 Outsourcing – Banks (amended 06.12.2012)

Circular 2008/05 Securities dealers (amended 12.08.2016)

Circular 2008/04 Securities journals (amended 25.01.2017)

Circular 2008/03 Public deposits at non-banks (amended 26.06.2019)

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