Circulars, guidelines and forms
In addition to its implementing ordinances for financial market legislation, FINMA publishes circulars and guidance notes.
Link to OICol-FINMA
Due to FinSA / FinIA, the implementing ordinances are currently being revised.
See also FINMA Ordinances
List of circulars relevant for collective investment schemes
- FINMA Circ. 2013/9 Distribution of Collective Investment Schemes (German version)
- FINMA Circ. 2013/9 Distribution of Collective Investment Schemes (French version)
- FINMA Circ. 2013/8 Market conduct rules
- FINMA Circ. 2013/3 Auditing (German version)
- FINMA Circ. 2013/3 Auditing (French version)
- FINMA Circ. 2009/1 Guidelines on asset management
- FINMA Circ. 2008/10 Self-regulation as a minimum standard
Guidelines and forms for collective investment schemes
In order to streamline procedures, in particular for institutions wishing to submit a license application, the FINMA has issued various guidelines. There is no official translation of FINMA guidelines and forms into English. You may download the original versions either in German or French from the FINMA's website, under "Institutions" in the sections Collective Investment Schemes (German: "Kollektive Kapitalanlagen" / French: "Placements collectifs de capitaux"), Asset managers (German: "Vermögensverwalter" / French: "Gestionnaires") and Distributors (German: "Vertriebsträger" / French: "Distributeurs").