FinSA Art. 32 - Keeping of the register and notification duty

Einleitung zur Rechtsnorm FinSA:



Art. 32 FinSA from 2024

Art. 32 Financial Services Act (FinSA) drucken

Art. 32 Keeping of the register and notification duty

1 The registration body shall decide which advisers are registered and deregistered as advisers and shall issue the necessary rulings.

2 Registered client advisers and the financial service provider for which they work must notify the registration body of all changes in the facts underlying their registration.

3 The competent supervisory authorities shall notify the registration body if they:

  • a. prohibit any registered client advisers from performing an activity or practising a profession as defined in Article 29 paragraph 2 letter b;
  • b. learn of a criminal conviction against registered client advisers in accordance with Article 29 paragraph 2 letter a.

    • 4 If the registration body learns that a client adviser no longer meets a condition for registration, it shall deregister that client adviser.

    5 The contents of the register of advisers shall be public and may be consulted online.

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