Ordinance
on Financial Institutions
(Financial Institutions Ordinance, FinIO)

of 6 November 2019 (Status as of 23 January 2023)


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Art. 21 Entitlement to be subject to supervision by a supervisory organisation

(Art. 7 para. 2 Fin­IA)

1Port­fo­lio man­agers and trust­ees are en­titled to be sub­ject to su­per­vi­sion by a su­per­vis­ory or­gan­isa­tion if their in­tern­al rules and their op­er­a­tion­al or­gan­isa­tion en­sure that the su­per­vis­ory re­quire­ments are sat­is­fied.

2A su­per­vis­ory or­gan­isa­tion can make sub­jec­tion to su­per­vi­sion de­pend­ent on port­fo­lio man­agers and trust­ees be­ing re­quired to main­tain spe­cial stat­utory pro­fes­sion­al con­fid­en­ti­al­ity.

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