Federal Act on Collective Investment Schemes

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Art. 13 Duty to obtain authorisation

1Any party who es­tab­lishes or op­er­ates a col­lect­ive in­vest­ment scheme or is re­spons­ible for the safe­keep­ing of the as­sets held in it re­quires au­thor­isa­tion from FINMA.1

2The fol­low­ing must ap­ply for au­thor­isa­tion:

a.2
...
b.
SICAVs;
c.
lim­ited part­ner­ships for col­lect­ive in­vest­ment;
d.
SI­CAFs;
e.3
the cus­todi­an bank;
f. und g.4 ...
h.
rep­res­ent­at­ives of for­eign col­lect­ive in­vest­ment schemes.

3Rep­res­ent­at­ives who are already sub­ject to oth­er equi­val­ent of­fi­cial su­per­vi­sion may be gran­ted ex­emp­tion from the duty to ob­tain au­thor­isa­tion by the Fed­er­al Coun­cil.5

4...6

5The per­sons cited in para­graph 2 let­ters b–d may only be entered in the Com­mer­cial Re­gister once au­thor­isa­tion has been gran­ted by FINMA.7

1 Amended by An­nex No II 13 of the Fin­an­cial In­sti­tu­tions Act of 15 June 2018, in force since 1 Jan. 2020 (AS2018 5247, 2019 4631; BBl 2015 8901).
2 Re­pealed by An­nex No II 13 of the Fin­an­cial In­sti­tu­tions Act of 15 June 2018, with ef­fect from 1 Jan. 2020 (AS2018 5247, 2019 4631; BBl 2015 8901).
3 Amended by An­nex No II 13 of the Fin­an­cial In­sti­tu­tions Act of 15 June 2018, in force since 1 Jan. 2020 (AS2018 5247, 2019 4631; BBl 2015 8901).
4 Re­pealed by An­nex No II 13 of the Fin­an­cial In­sti­tu­tions Act of 15 June 2018, with ef­fect from 1 Jan. 2020 (AS2018 5247, 2019 4631; BBl 2015 8901).
5 Amended by An­nex No II 13 of the Fin­an­cial In­sti­tu­tions Act of 15 June 2018, in force since 1 Jan. 2020 (AS2018 5247, 2019 4631; BBl 2015 8901).
6 Re­pealed by No I of the FA of 28 Sept. 2012, with ef­fect from 1 March 2013 (AS2013 585; BBl 2012 3639).
7 Amended by An­nex No II 13 of the Fin­an­cial In­sti­tu­tions Act of 15 June 2018, in force since 1 Jan. 2020 (AS2018 5247, 2019 4631; BBl 2015 8901).

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