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Federal Act on Collective Investment Schemes

English is not an official language of the Swiss Confederation. This translation is provided for information purposes only and has no legal force.

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).