Financial Services Act (FinSA) in english

Financial Services Act - 2021

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
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