Which authority is recorded against Swiss external asset manager (entity not named pending review)?

The entry is recorded against FINMA (review requested), in the Switzerland jurisdiction, under the theme Conflicts of interest · retrocessions.

What is the current status of this entry?

Status: Open disclosure — no findings made. Last recorded change: 20 February 2026. The matter arose or was first recorded on 20 February 2026.

How was this matter brought to light?

Protected disclosure by a market participant. Each statement in the entry reflects material already published by a named source; nothing beyond those sources is asserted or inferred.

Where can the primary sources for CH-2026-03 be checked?

The entry links to Submit or respond to a disclosure.

CH-2026-03 · Switzerland · 2026

Disclosure on retrocession disclosure to discretionary mandate clients

A disclosure asks whether retrocessions received on third-party products were disclosed to discretionary mandate clients. No authority has made findings.

Zurich banking district at night, illustrating an open conflicts-of-interest disclosure — Illustrative image · Swiss external asset manager (entity not named pending review)

Institution: Swiss external asset manager (entity not named pending review)
Authority: FINMA (review requested)
Status: Open disclosure — no findings made
Theme: Conflicts of interest · retrocessions
Raised by: Protected disclosure by a market participant
Jurisdiction: Switzerland
Matter arose: 20 February 2026
Last recorded: 20 February 2026

What the sources record

The questions submitted relate to client information practice, not to any established breach.

The entity is not named while the matter remains open.

Primary sources

Submit or respond to a disclosure

Questions and answers on this entry

What does register entry CH-2026-03 record?: Disclosure on retrocession disclosure to discretionary mandate clients. A disclosure asks whether retrocessions received on third-party products were disclosed to discretionary mandate clients. No authority has made findings.
Which authority is recorded against Swiss external asset manager (entity not named pending review)?: The entry is recorded against FINMA (review requested), in the Switzerland jurisdiction, under the theme Conflicts of interest · retrocessions.
What is the current status of this entry?: Status: Open disclosure — no findings made. Last recorded change: 20 February 2026. The matter arose or was first recorded on 20 February 2026.
How was this matter brought to light?: Protected disclosure by a market participant. Each statement in the entry reflects material already published by a named source; nothing beyond those sources is asserted or inferred.
Where can the primary sources for CH-2026-03 be checked?: The entry links to Submit or respond to a disclosure.

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