News & Analysis as of

FINMA

Swiss Government Establishing “Crypto-Bank” as New Category of Financial Institution and Creating New FinTech Company License

by Reed Smith on

On, November 2, 2016, during its weekly meeting, the Swiss Federal Council (the Council), the executive council which serves as the collective executive head of the government of Switzerland, requested an easing of the Swiss...more

Serious Fraud Office Closes Forex Investigation

by K&L Gates LLP on

The Serious Fraud Office (SFO) recently announced that it had closed its criminal investigation into allegations of fraudulent conduct in the foreign exchange (FX) market. The SFO began its investigation in July 2014...more

AIFMD Passport a "No-Go" for U.S. Managers

by K&L Gates LLP on

On July 30, the European Securities and Markets Authority (ESMA) provided its advice and opinion to the European Commission, Council and Parliament with respect to the extension of the EU’s Alternative Investment Fund...more

Forex Probe Results in Fines, but Investigation Not Over Yet

by Burr & Forman on

The American Commodity Futures Trading Commission (CFTC), British Financial Conduct Authority (FCA), and Swiss Financial Market Supervisory Authority (FINMA) announced fines of $3.4 billion against five global banks on...more

Simplified Authorization Procedure for Cross-Border Marketing of Swiss Securities Funds and German UCITS

by Dechert LLP on

At the beginning of this year – to the (pleasant) surprise of market participants – an agreement came into force to implement a simplification in the marketing of Swiss securities funds (Effektenfonds) in Germany, and German...more

Cooperation Arrangement Would Permit Swiss Alternative Investment Funds to Access EU Market

by Proskauer Rose LLP on

On December 3, 2012, the European Securities and Markets Authority (ESMA) approved a cooperation arrangement between the Swiss Financial Market Supervisory Authority (FINMA) and regulators in the EU member states for the...more

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Cybersecurity

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