Financial Services Act (FinSA) in english

Financial Services Act - 2020

Art. 1 - Purpose and subject matter
Art. 2 - Scope of application
Art. 3 - Definitions
Art. 4 - Client segmentation
Art. 5 - Opting out and opting in
Art. 6 - Client advisers must have sufficient knowledge of the code of conduct set out in this Act and the [...]
Art. 7 - 1 Financial service providers must comply with the supervisory duties set out under [...]
Art. 8 - Content and form of information
Art. 9 - Content and form of information
Art. 10 - Duty to review
Art. 11 - Assessment of appropriateness
Art. 12 - Assessment of suitability
Art. 13 - Exemption from the duty to review
Art. 14 - Non-assessable or lacking appropriateness or suitability
Art. 15 - Documentation
Art. 16 - Rendering of account
Art. 17 - Handling of client orders
Art. 18 - Best execution of client orders
Art. 19 - Use of clients' financial instruments
Art. 20 - 1 The provisions of this chapter do not apply to transactions involving [...]
Art. 21 - Appropriate organisation
Art. 22 - Staff
Art. 23 - Involvement of third parties
Art. 24 - Chain of providers
Art. 25 - Organisational precautions
Art. 26 - Compensation from third parties
Art. 27 - Staff transactions
Art. 28 - Duty to register
Art. 29 - Registration conditions
Art. 30 - Contents
Art. 31 - Registration body
Art. 32 - Keeping of the register and notification duty
Art. 33 - Fees
Art. 34 - Procedure
Art. 35 - Duty to publish a prospectus
Art. 36 - Exemptions by type of offer
Art. 37 - Exemptions by type of securities
Art. 38 - Exemptions for admission to trading
Art. 39 - Information beyond the scope of the duty to publish a prospectus
Art. 40 - Contents
Art. 41 - Exemptions
Art. 42 - Inclusion by reference
Art. 43 - Summary
Art. 44 - Structure
Art. 45 - Base prospectus
Art. 47 - 1 The Federal Council may grant a relaxation of the duty to publish a prospectus and [...]
Art. 48 - Open-ended collective investment schemes
Art. 49 - Closed-ended collective investment schemes
Art. 50 - Exemptions
Art. 51 - Duty
Art. 52 - Reviewing body
Art. 53 - Procedure and deadlines
Art. 54 - Foreign prospectuses
Art. 55 - Validity
Art. 56 - Supplements
Art. 57 - Fees
Art. 58 - Duty
Art. 59 - Exemptions
Art. 60 - Contents
Art. 61 - Requirements
Art. 62 - Changes
Art. 63 - Supplementary provisions
Art. 64 - Prospectus for securities
Art. 65 - Prospectus for collective investment schemes
Art. 66 - Key information document
Art. 67 - Changes to the rights associated with securities
Art. 68 - 1 Advertising for financial instruments must be clearly indicated as [...]
Art. 69 - 1 Any person who fails to exercise due care and thereby furnishes information that [...]
Art. 70 - Structured products
Art. 71 - In-house funds
Art. 72 - Entitlement
Art. 73 - Procedure
Art. 74 - Principle
Art. 75 - Procedure
Art. 76 - Interdependence with conciliation proceedings and other proceedings
Art. 77 - Duty to affiliate
Art. 78 - Duty to participate
Art. 79 - Duty to provide information
Art. 80 - Financial participation
Art. 81 - Admission
Art. 82 - Exclusion
Art. 83 - Duty to inform
Art. 84 - Recognition
Art. 85 - Review of recognition
Art. 86 - Reporting
Art. 87 - Supervision
Art. 88 - Exchange of information
Art. 89 - Violation of the code of conduct
Art. 90 - Violation of the regulations on prospectuses and key information documents
Art. 91 - Unauthorised offering of financial instruments
Art. 92 - Exemptions
Art. 93 - Implementing provisions
Art. 94 - Amendment of other legislation
Art. 95 - Transitional provisions
Art. 96 - Referendum and commencement
SWISSRIGHTS verwendet Cookies, um Inhalte und Anzeigen zu personalisieren, Funktionen für soziale Medien anbieten zu können und die Zugriffe auf der Website nalysieren zu können. Weitere Informationen finden Sie hier: Datenschutz