Swiss Financial Market Supervisory Authority FINMA
List of recognised Self-Regulatory Bodies
PolyReg General Self-Regulatory Organisation
Regulations of PolyReg
Federal Acts and Regulations

Who is a financial intermediary?

Banks, managers of funds, investment companies, insurance institutions, traders in securities and gambling casinos are financial intermediaries.

Persons who on a professional basis accept, keep on deposit or help invest or transfer assets belonging to third parties shall also be deemed to be financial intermediaries, particularly persons who:

  1. undertake credit transactions (including consumer credit or mortgages, factoring, financing of commercial transactions or financial leasing);
  2. provide services related to payments, including electronic transfers on behalf of third parties, or who issue or manage means of payment such as credit cards and travellers cheques;
  3. trade, on their own account or for third parties, in bank notes or cash, money market instruments, currency, precious metals, raw materials or securities (paper or other rights) and their derivatives;
  4. undertake asset management;
  5. make investments as investment adviser;
  6. keep or manage securities.