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Sandra Lathion-Sweifel on Muck Rack

Sandra Lathion-Sweifel

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Articles by Sandra Lathion-Sweifel

Enforcement of financial services regulations in Switzerland | Lexology

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By Laurence Vogt Scholler, Patrick Schleiffer, Sandra Lathion-Sweifel
| Lexology Verified
Switzerland July 31 2019 Enforcement Investigatory powers What powers do national financial services authorities have to examine and investigate compliance? What enforcement powers do they have for compliance breaches? How is compliance examined and enforced in practice? As a rule, compliance is enforced by way of a dualistic system in which regular compliance reviews are undertaken by regulatory auditors (ie, audit firms appointed by each supervised institutions).
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Compliance programmes for financial services firms in Switzerland | Lexology

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By Laurence Vogt Scholler, Patrick Schleiffer, Sandra Lathion-Sweifel
| Lexology Verified
Compliance programmes Programme requirements What requirements exist concerning the nature and content of compliance and supervisory programmes for each type of regulated entity? The main requirements relating to the structure and content of compliance programmes are enshrined in FINMA Circular 2017/1 on corporate governance, risk management and internal controls at banks (FINMA Circular 17/1).
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Financial Services Compliance in Switzerland | Lexology

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By Isation Regime, Patrick Schleiffer, Laurence Vogt Scholler, Sandra Lathion-Sweifel
| Lexology Verified
Use the Lexology Getting The Deal Through tool to compare the answers in this article with those from other jurisdictions. Regulatory framework Regulatory authorities What national authorities regulate the provision of financial products and services? The Swiss Financial Market Supervisory Authority (FINMA) is the primary regulator in Switzerland for all types of financial services.
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