Art. 31 FinSA from 2024
Art. 31 Registration body
1 The registration body shall keep the register of advisers. It requires a licence from the Swiss Financial Market Supervisory Authority (FINMA).
2 FINMA may grant a licence to two or more registration bodies provided this is objectively justified.
3 The registration body must be organised so as to guarantee the independent fulfilment of its tasks.
4 The registration body and the persons responsible for its management must provide the guarantee of irreproachable business conduct. Furthermore, the persons responsible for its management must enjoy a good reputation and have the specialist qualifications required for their function.
5 If the registration body no longer fulfils the requirements under this Act, FINMA shall order the measures necessary to remedy the deficiencies. If, within a reasonable period, the registration body fails to remedy the deficiencies preventing it from fulfilling its tasks, FINMA shall withdraw its licence to register client advisers.
6 If a private body is not available as a registration body, the Federal Council shall designate a body for this task.
Es besteht kein Anspruch auf Aktualität und Vollständigkeit/Richtigkeit.
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