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Federal Act on Intermediated Securities

English is not an official language of the Swiss Confederation. This translation is provided for information purposes only and has no legal force.

The Federal Assembly of the Swiss Confederation,

based on Article 98 paragraph 1 and Article 122 paragraph 1 of the Federal Constitution1, and having considered the Federal Council Dispatch dated 15 November 20062,

decrees:

Chapter 1 Purpose, Scope and Definitions

Chapter 2 Creation, Extinction and Conversion of Intermediated Securities

Chapter 3 Sub-Custody and Availability of Intermediated Securities

Chapter 4 Rights deriving from the Custody of Intermediated Securities

Section 1 General Rights of Account Holders

Section 2 Rights of Account Holders in the event of a Custodian's Liquidation

Section 3 Rights of a Custodian in Intermediated Securities

Art. 23a Passing on of information  

1This Act is sub­ject to an op­tion­al ref­er­en­dum.

2The Fed­er­al Coun­cil shall set the com­mence­ment date.

3A cus­todi­an may waive its li­ab­il­ity un­der para­graph 2 if the ac­count hold­er has ex­pressly des­ig­nated the sub-cus­todi­an con­trary to the cus­todi­an's ad­vice.

4A cus­todi­an shall be li­able, as if they were its own, for the acts of a sub-cus­todi­an which:

1 Amended by An­nex No 14 of the Fin­an­cial Mar­ket In­fra­struc­ture Act of 19 June 2015, in force since 1 Jan. 2016 (AS 2015 5339; BBl 2014 7483).

1 Amended by An­nex No 14 of the Fin­an­cial Mar­ket In­fra­struc­ture Act of 19 June 2015, in force since 1 Jan. 2016 (AS 2015 5339; BBl 2014 7483).

a.
in­de­pend­ently and over a long peri­od of time ad­min­is­ters and settles all se­cur­it­ies trans­ac­tions on be­half of the cus­todi­an; or
b.
is part of the same eco­nom­ic en­tity as the cus­todi­an.

5Agree­ments to the con­trary shall be val­id only as between cus­todi­ans or when made in fa­vour of in­vestors.

1 Amended by An­nex No 14 of the Fin­an­cial Mar­ket In­fra­struc­ture Act of 19 June 2015, in force since 1 Jan. 2016 (AS 2015 5339; BBl 2014 7483).
2 Re­pealed by An­nex No 14 of the Fin­an­cial Mar­ket In­fra­struc­ture Act of 19 June 2015, with ef­fect from 1 Jan. 2016 (AS 2015 5339; BBl 2014 7483).

1 Amended by An­nex No 14 of the Fin­an­cial Mar­ket In­fra­struc­ture Act of 19 June 2015, in force since 1 Jan. 2016 (AS 2015 5339; BBl 2014 7483).

1 SR 220

Chapter 5 Disposition of Intermediated Securities and Effectiveness against Third Parties

Section 1 Disposition of Intermediated Securities

Section 2 Reversal

Section 3 Effectiveness against Third Parties

Chapter 6 Realisation of Collateral

Chapter 7 Liability

Chapter 8 Final Provisions

Annex

Amendment of Current Legislation

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