L’individu face à la surveillance financière suisse : état des lieux et 
discussion sur un assujettissement direct

Braidi, Guillaume

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L’individu face à la surveillance financière suisse : état des lieux et discussion sur un assujettissement direct

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Braidi, Guillaume
Business and Tax Law, MPI for Tax Law and Public Finance, Max Planck Society;

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Citation

Braidi, G. (2016). L’individu face à la surveillance financière suisse : état des lieux et discussion sur un assujettissement direct. Schweizerische Zeitschrift für Wirtschafts- und Finanzmarktrecht - Revue suisse de droit des affaires et du marché financier, (2), 182-193.

Cite as: https://hdl.handle.net/11858/00-001M-0000-002A-3DF1-7

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.