Ordinance
on Financial Institutions
(Financial Institutions Ordinance, FinIO)

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

of 6 November 2019 (Status as of 1 August 2021)


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Art. 67 Tasks

(Art. 44 Fin­IA)

1With­in the frame of their tasks in ac­cord­ance with Art­icle 44 Fin­IA, se­cur­it­ies firms shall en­sure an ef­fect­ive in­tern­al sep­ar­a­tion between the func­tions of trad­ing, as­set man­age­ment and set­tle­ment. Where there are le­git­im­ate grounds for so do­ing, FINMA may al­low ex­emp­tions or it may or­der the sep­ar­a­tion of fur­ther func­tions.

2If they do not op­er­ate primar­ily in the fin­an­cial sec­tor, firms trad­ing for the ac­count of cli­ents and firms act­ing as mar­ket makers with­in the mean­ing of Art­icle 41 let­ters a and c Fin­IA must keep se­cur­it­ies trad­ing activ­it­ies leg­ally sep­ar­ate.

3In all oth­er re­spects, Art­icle 14 ap­plies.

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