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Federal Act
on the Swiss Financial Market Supervisory Authority
(Financial Market Supervision Act, FINMASA)

Art. 44 Activity without authorisation, recognition, a licence, registration or affiliation with a self-regulatory organisation 101

1 Any per­son who wil­fully without au­thor­isa­tion, re­cog­ni­tion, a li­cence, re­gis­tra­tion or af­fil­i­ation with a self-reg­u­lat­ory or­gan­isa­tion in ac­cord­ance with Art­icle 24 para­graph 1 of the AMLA102 car­ries out an activ­ity that re­quires au­thor­isa­tion, re­cog­ni­tion, a li­cence, re­gis­tra­tion or af­fil­i­ation with a self-reg­u­lat­ory or­gan­isa­tion un­der the fin­an­cial mar­ket acts is li­able to a cus­todi­al sen­tence of up to three years or to a mon­et­ary pen­alty.103

2 Where the of­fend­er acts through neg­li­gence, he or she is li­able to a fine of up to 250 000 francs.

3 ...104

101 Amended by An­nex No II 16 of the Fin­an­cial In­sti­tu­tions Act of 15 June 2018, in force since 1 Jan. 2020 (AS 2018 5247, 2019 4631; BBl 2015 8901).

102 SR 955.0

103 Amended by An­nex No II 16 of the Fin­an­cial In­sti­tu­tions Act of 15 June 2018, in force since 1 Jan. 2020 (AS 2018 5247, 2019 4631; BBl 2015 8901).

104 Re­pealed by An­nex No 13 of the Fin­an­cial Mar­ket In­fra­struc­ture Act of 19 June 2015, with ef­fect from 1 Jan. 2016 (AS 2015 5339; BBl 2014 7483).