FINMA supervision

FINMA supervision covers licensing, ongoing prudential oversight and enforcement in the Swiss financial market. It applies to banks, securities firms, insurers, fund management structures, financial market infrastructures and other regulated institutions. FINMA assesses organisation, risk management, capital, conduct and compliance, often relying on recognised audit firms. It may order remedial measures, restrict activities or take enforcement action where regulatory requirements are breached. Supervision aims to protect clients, creditors and insured persons while supporting the proper functioning of financial markets.