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Art. 43b – Continuous supervision

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Art. 43b

Continuous supervision

1

The supervisory organisation shall continuously monitor whether portfolio managers and trustees in accordance with Article 17 of the Financial Institutions Act of 15 June 201897 are in compliance with the financial market legislation to which they are subject.98

2

Where the supervisory organisation detects violations of supervisory provisions or other irregularities, it shall give the audited supervised person or entity an appropriate period to restore compliance with the law. If the period is not complied with, it informs FINMA.

3

The Federal Council shall determine the main aspects and content of the continuous supervision. In doing so, it shall take account of the differing size and business risks of the supervised person or entity. It may authorise FINMA to issue implementing provisions on technical matters.

  1. 97 SR 954.1
  2. 98 Amended by Annex 1 No 4 of the FA of 19 March 2021, in force since 1 Jan. 2022 (AS 2021 656; BBl 2019 5451).
Legal act context
SR 956.1 · FINMASA · Federal act · Federal Act of 22 June 2007 on the Swiss Financial Market Supervisory Authority (Financial Market Supervision Act, FINMASA)
Structure path
Title 3 Supervision of Portfolio Managers and Trustees Chapter 1 General Provisions
Language
English (en)
Data status
2025-04-01

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