Authority · Switzerland

Swiss Financial Market Supervisory Authority (FINMA)

5 case files in the register record the involvement of FINMA. Every entry links to the published decision, statement or judgment that is the source of the record.

FINMA authorises and supervises Swiss banks, securities firms, insurers and asset managers, and publishes enforcement decisions where it establishes a serious breach of supervisory law. It may impose professional bans, disgorge unlawful profits and withdraw authorisation.

Case files in this group

Ref.MatterJurisdictionAuthorityAroseLast decisionStatus
CH-2026-02Protected disclosure concerning VINGA Corporate Finance and VINGA Securities

VINGA Corporate Finance AB · VINGA Securities AG (ex-JOOL)

SwitzerlandFINMA · Finansinspektionen · Finanstilsynet (review requested)1 February 20261 February 2026Open disclosure
CH-2026-03Disclosure on retrocession disclosure to discretionary mandate clients

Swiss external asset manager (entity not named pending review)

SwitzerlandFINMA (review requested)20 February 202620 February 2026Open disclosure
CH-2024-03FINMA finds AML obligations breached in two PEP relationships

HSBC Private Bank (Suisse) SA

SwitzerlandFINMA16 March 202116 March 2021Enforcement proceedings concluded
CH-2024-04FINMA finds anti-money-laundering obligations seriously breached

Mirabaud & Cie SA

SwitzerlandFINMA14 May 202414 May 2024Enforcement proceedings concluded
CH-2024-05FINMA publishes findings on breaches of money-laundering regulations

Banque Audi (Suisse) SA

SwitzerlandFINMA1 June 20231 June 2023Enforcement proceedings concluded

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