Switzerland FINMA Framework Training

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Course Summary

Switzerland’s financial regulator, FINMA, sets the rules that keep banks, insurers, and asset managers sound and trustworthy. This Ethena course shows your team what FINMA oversees, what it expects, and how to stay compliant every day.

What FINMA does and oversees
Risk management and reporting duties
Handling customer complaints fairly
The real cost of non-compliance

Included Modules:

What Is FINMA?

Introduces the Swiss Financial Market Supervisory Authority, FINMA, the independent regulator that authorises and supervises banks, insurers, and other financial firms.

The Scope of FINMA Regulation

Outlines which firms and activities fall under FINMA oversight, from banks and insurers to asset managers, fund providers, and securities dealers.

What FINMA Requires for Risk Management

Explains FINMA’s expectations for sound risk management, including governance, internal controls, and capital and liquidity adequacy under Swiss financial law.

What FINMA Requires for Monitoring and Reporting

Covers FINMA’s ongoing supervision, including the audit-based reporting model and the duty to report material events promptly to the regulator.

What You Need to Do

Sets out the day-to-day actions staff must take to meet FINMA standards, from following internal controls to escalating concerns quickly.

Handling Customer Complaints Under FINMA

Explains how firms should manage and resolve customer complaints fairly under FINMA conduct expectations and the Swiss financial services framework.

The Cost of Non-Compliance with FINMA

Describes FINMA’s enforcement powers and the consequences of breaches, from profit disgorgement and licence withdrawal to bans on individuals.

Why is this training important for workplaces?

Anti-money laundering (AML) is crucial for maintaining the integrity of financial systems and preventing illegal activities. Implementing strong AML measures protects businesses from reputational damage, legal consequences, and financial losses. It ensures compliance with regulatory requirements and enhances trust among clients, investors, and stakeholders. By understanding and actively addressing money laundering risks, organizations can foster a safe and secure environment, safeguard their assets, and contribute to the overall stability of the financial ecosystem.

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