Case reports

FINMA publishes anonymised summaries of its enforcement actions that were concluded with a ruling in a database. It thereby increases the transparency of its activity in this area and shows the market what practices are unacceptable. The cases can be searched for and accessed in the database according to criteria.

Owing to statutory restrictions, FINMA is only permitted to provide information on proceedings taken against specific companies or individuals in exceptional cases. FINMA’s reports are thus generally anonymised to protect the personal rights of the individuals affected.

This publication form supplements the publication of selected FINMA rulings. Statistical data on enforcement can be found in the statistics and for the years 2014 to 2018 in the Enforcement reports.