Federal Act
on Collective Investment Schemes
(Collective Investment Schemes Act, CISA)

of 23 June 2006 (Status as of 1 January 2023)


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Art. 149 Contraventions

1 Any per­son who wil­fully does any of the fol­low­ing is li­able to a fine not ex­ceed­ing CHF 500,000:

a.
com­mits a breach of the pro­vi­sion con­cern­ing the pro­tec­tion against con­fu­sion or de­cep­tion (Art. 12);
b.
provides non-per­miss­ible, false or mis­lead­ing in­form­a­tion in ad­vert­ising ma­ter­i­al for a col­lect­ive in­vest­ment scheme;
c.212
...
d.
fails to file the re­quired no­ti­fic­a­tion with FINMA, the Swiss Na­tion­al Bank or in­vestors, or provides false in­form­a­tion therein;
e.213
...
f.214
fails to keep the share re­gister in terms of Art­icle 46 para­graph 3 cor­rectly.

2 ...215

3 ...216

4 ...217

212 Re­pealed by An­nex No 3 of the Fin­an­cial Ser­vices Act of 15 June 2018, with ef­fect from 1 Jan. 2020 (AS 2019 4417; BBl 2015 8901).

213 Re­pealed by An­nex No 3 of the Fin­an­cial Ser­vices Act of 15 June 2018, with ef­fect from 1 Jan. 2020 (AS 2019 4417; BBl 2015 8901).

214 In­ser­ted by No I 6 of the FA of 12 Dec. 2014 on the Im­ple­ment­a­tion of the re­vised re­com­mend­a­tions 2012 of the Fin­an­cial Ac­tion Task Force, in force since 1 Ju­ly 2015 (AS 2015 1389; BBl 2014 605).

215 Re­pealed by An­nex No 3 of the Fin­an­cial Ser­vices Act of 15 June 2018, with ef­fect from 1 Jan. 2020 (AS 2019 4417; BBl 2015 8901).

216 Re­pealed by An­nex No 9 of the Fin­an­cial Mar­ket In­fra­struc­ture Act of 19 June 2015, with ef­fect from 1 Jan. 2016 (AS 2015 5339; BBl 2014 7483).

217 Re­pealed by An­nex No 14 of the Fin­an­cial Mar­ket Su­per­vi­sion Act of 22 June 2007, with ef­fect from 1 Jan. 2009 (AS 2008 52075205; BBl 2006 2829).

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