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Switzerland’s Financial Market Supervisory Authority (FINMA) can investigate and require corrective action when a governance problem at a supervised financial institution may involve a breach of financial-market law. It is not a general forum for shareholder or other private disputes: its role is regulatory, and the remedy depends on the facts and the law in question.
When FINMA can get involved
FINMA’s jurisdiction turns on whether the matter plausibly raises a breach of supervisory law within its remit—not simply whether someone describes it as a governance dispute. Its focus is restoring compliance with financial-market law and protecting the interests assigned to it by statute. That can include problems with an institution’s responsibilities, controls, processes, or risk culture.
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FINMA’s 2024 Annual Report says it identified governance shortcomings at supervised institutions in areas including money laundering, sanctions compliance, and greenwashing. It emphasizes clear responsibilities, appropriate standards, and responsible risk culture, and notes that early intervention can remedy some issues before formal enforcement or liquidation proceedings. FINMA puts the principle this way: “Sound business conduct and responsible governance build trust in the financial centre.” FINMA Annual Report 2024
What FINMA can do
Require information and investigate
Under Article 29 of the Financial Market Supervision Act (FINMASA), supervised persons and entities, as well as certain related parties, have information and reporting duties. FINMA can clarify the circumstances and, where necessary, open formal administrative proceedings. The official archived statute covers Articles 29–37; consult current consolidated legislation before relying on it for a legal matter. FINMA, Financial Market Supervision Act archive
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Order the institution to restore compliance
Article 31 FINMASA requires FINMA to restore compliance when a supervised entity violates financial-market law or another irregularity arises. The response is not limited to the most serious cases. Depending on the circumstances, FINMA may impose organizational or process conditions, restrict business temporarily or permanently, or require a change to ultimate management by a specified deadline. FINMA, “Restoring compliance with the law”
Take precautionary steps during proceedings
When needed to protect investors, creditors, policyholders, or the market while a case is under way, FINMA may order precautionary measures. It can, for example, appoint an investigating agent to establish facts or implement measures already ordered. The appointment decision defines whether—and to what extent—the agent may act in place of management. FINMA, “Precautionary measures”
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Impose consequences on responsible individuals
Possible measures against individuals include declaratory rulings, activity or industry bans, disgorgement, and publication. Under Article 33 FINMASA, a person responsible for a serious supervisory violation may be barred from a management role at a supervised entity for up to five years. This is a potential consequence of a serious violation, not an automatic result of an internal dispute. FINMA, “Measures against licence holders, their owners, ultimate management and staff”
Take serious action against an institution
Where statutory conditions are met, FINMA’s tools include publication of a final ruling in serious cases, confiscation of gains linked to a serious violation, and licence revocation. Losing a licence can lead to liquidation and, if the institution is over-indebted, bankruptcy. These are serious regulatory measures, not routine remedies for every governance disagreement. The precise legal requirements depend on the measure and circumstances.
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Address certain listed-company disclosure and market-conduct issues
FINMA also supervises specified market-conduct and shareholding-disclosure rules. In cases involving suspected breaches of listed-company disclosure obligations, it may suspend voting rights and temporarily prohibit further share purchases where the applicable legal conditions are satisfied.
What FINMA cannot do
- Decide an ordinary private dispute. FINMA does not resolve a shareholder, director, employment, or contract claim merely because it relates to governance. A related private claim may need to be brought separately in the appropriate civil forum.
- Conduct a criminal prosecution or impose fines. FINMA says it does not conduct criminal proceedings and has no authority to impose fines. If it has reasonable grounds to suspect a criminal offence, it may refer the matter to the competent authorities.
- Use coercive searches or seize evidence. FINMA says it cannot search premises by coercion or seize evidence in its investigations.
- Make an unchallengeable final decision. FINMA rulings may be challenged. The Federal Administrative Court or, where applicable, the Federal Supreme Court has the final say in contested cases.
FINMA’s own explanations of its remit and limits are available in “FINMA and law enforcement”.
Independent reader supportYour contribution helps us test, update, and keep practical guides available for everyone.Which route fits the problem?
A dispute can involve more than one legal issue, so separate the possible tracks rather than assuming one authority can provide every remedy.
| Issue | Likely decision-maker | Possible response |
|---|---|---|
| Possible breach of financial-market supervisory rules by a supervised entity | FINMA | Investigation, corrective or precautionary measures, and other statutory supervisory action |
| Private claim, such as a shareholder, employment, or contractual dispute | Appropriate civil court or forum | Private relief available under the applicable civil law |
| Suspected criminal offence | Competent law-enforcement authority | Criminal investigation or proceedings; FINMA may refer a matter if it has reasonable grounds to suspect an offence |
Urgency matters too: if there is a risk to protected interests while FINMA proceedings continue, precautionary measures may be relevant. A person challenging a FINMA ruling should distinguish that appeal from any separate civil claim.
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FINMA reported 34 court rulings in its enforcement proceedings in 2024, compared with 31 in 2023. Those figures count court rulings in enforcement proceedings; they are not counts of corporate-governance disputes, investigations, or successful interventions. FINMA Annual Report 2024
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