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


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Art. 46 Violations of obligations by agents 107

1 Any per­son who as an agent wil­fully and ser­i­ously vi­ol­ates the su­per­vis­ory pro­vi­sions by:108

a.109
falsely stat­ing es­sen­tial in­form­a­tion in the re­port or with­hold­ing es­sen­tial in­form­a­tion;
b.
fail­ing to make a man­dat­ory re­port to FINMA; or
c.
fail­ing to make an or­der un­der Art­icle 27 to the audited su­per­vised per­son or en­tity,
is li­able to a cus­todi­al sen­tence of up to three years or to a mon­et­ary pen­alty.

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

3 ...110

107 Amended by An­nex No 8 of the FA of 20 June 2014 (Con­sol­id­a­tion of Over­sight through Audit Com­pan­ies), in force since 1. Jan. 2015 (AS 2014 4073; BBl 2013 6857).

108 Amended by An­nex No 8 of the FA of 20 June 2014 (Con­sol­id­a­tion of Over­sight through Audit Com­pan­ies), in force since 1. Jan. 2015 (AS 2014 4073; BBl 2013 6857).

109 Amended by An­nex No 8 of the FA of 20 June 2014 (Con­sol­id­a­tion of Over­sight through Audit Com­pan­ies), in force since 1. Jan. 2015 (AS 2014 4073; BBl 2013 6857).

110 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).

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