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Ordinance
on Financial Institutions
(Financial Institutions Ordinance, FinIO)

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

Art. 9 Authorisation application and duty to obtain authorisation

(Art. 5 and 7 Fin­IA)

1The fin­an­cial in­sti­tu­tion shall sub­mit an au­thor­isa­tion ap­plic­a­tion to FINMA. The ap­plic­a­tion shall con­tain all in­form­a­tion and doc­u­ments re­quired to as­sess it, spe­cific­ally in­form­a­tion and doc­u­ments on:

a.
the or­gan­isa­tion, in par­tic­u­lar on cor­por­ate gov­ernance and con­trol as well as on risk man­age­ment (Art­icles 9, 20, 21 and 33 Fin­IA);
b.
the place of man­age­ment (Art­icle 10 Fin­IA);
c.
the guar­an­tee (Art­icle 11 Fin­IA);
d.
tasks and the del­eg­a­tion of such tasks (Art­icles 14, 19, 26, 27, 34, 35 and 44 Fin­IA);
e.
min­im­um cap­it­al and col­lat­er­al (Art­icles 22, 28, 36 and 45 Fin­IA);
f.
cap­it­al (Art­icles 23, 29, 37 and 46 Fin­IA);
g.
the om­buds­man's of­fice (Art­icle 16 Fin­IA);
h.
the su­per­vis­ory or­gan­isa­tion and the audit firm (Art­icles 61–63 Fin­IA).

2In­sur­ance com­pan­ies as defined in the ISA11 are ex­empt from the duty to ob­tain au­thor­isa­tion as a man­ager of col­lect­ive as­sets.

3Ex­emp­tion from the duty to ob­tain au­thor­isa­tion as a trust­ee from FINMA can be gran­ted to trust­ees which act ex­clus­ively as trust­ees for trusts which were es­tab­lished by the same per­son or in fa­vour of the same fam­ily and which are held and mon­itored by a fin­an­cial in­sti­tu­tion which pos­sesses au­thor­isa­tion in ac­cord­ance with Art­icle 5 para­graph 1 or Art­icle 52 para­graph 1 Fin­IA.

11 SR 961.01