SRO-affiliated financial intermediary in Switzerland

About This Company

SRO-affiliated financial intermediary status connects an entity to Switzerland's regulatory architecture overseen by the Swiss Financial Market Supervisory Authority, known as FINMA. Established in 2009 and based in Bern, FINMA acts under the Financial Market Supervision Act to protect creditors, investors, and insured persons. The authority exercises integrated prudential and conduct supervision over banks, securities firms, fund managers, insurers, financial market infrastructures, and fintech entities. Under Article 14 of the Anti-Money Laundering Act, qualifying intermediaries affiliate with a recognised self-regulatory organisation rather than securing a direct FINMA licence. Self-regulatory bodies like VQF and SO-FIT carry out conduct oversight. Supervision remains strictly non-prudential.

Buyers confirming corporate standing can query the public SRO Member Search using company name or UID to verify valid affiliation. Parties can also search the FINMA Public Register by institution name, legal form, domicile, or supervisory category. An active entry confirms the entity's regulatory authorisation, supervisory category, registered office, and permitted scope of financial activities. Spreadsheets updated daily are downloadable in XLSX or PDF format directly from the supervisory authority. Continuous affiliation remains mandatory for as long as the commercial entity carries on covered financial activities.