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Free keywords:
devoirs professionnels; droit de la surveillance; garantie d’une activité irréprochable; obligations des individus; régimes d’autorisation; surveillance financière
Abstract:
This article analyses the legal position of individuals subject to the Swiss supervisory provisions. First, it discusses the emphasis and scrutiny placed on individuals when FINMA is considering the granting of authorisations to financial institutions. Secondly, the article analyses the development of legal requirements that apply to individuals as well as the strengthening of FINMA supervisory instruments and their current implementation. Thirdly, the paper opens a discussion regarding a direct supervision over individuals. To this end, it includes other professional authorisation schemes such as lawyers and physicians, which serve as points of reference for comparisons. At last, the advantages and the disadvantages of the introduction of an authorisation scheme for persons in a management position will be outlined.
