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FINMA Enforcement Actions

Swiss Financial Market Supervisory Authority

All fines, penalties, and disciplinary measures from the FINMA (Switzerland).

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🇨🇭 FINMA Enforcement Significant

FINMA concludes enforcement proceeding against Julius Bär

The Swiss Financial Market Supervisory Authority FINMA has concluded an enforcement proceeding against Julius Bär bank in connection with private debt loans granted to a European group and client relationships involving two Russian PEPs, or politically exposed persons. It has established that the institution committed…

Why this matters

This is a final enforcement decision by FINMA against Julius Bär concluding multiple proceedings for serious breaches of AML obligations, risk management, and governance.

Sectors:
Banking & CreditWealth & Private Banking
Topics:
AML / Financial CrimeSenior Managers / GovernancePrudential / Capital Requirements
BankWealth Manager
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🇨🇭 FINMA Enforcement

FINMA to appeal partial decision of the Federal Administrative Court concerning AT1

The Swiss Financial Market Supervisory Authority FINMA takes note of the Federal Administrative Court’s partial decision concerning the write-down of AT1 capital instruments. FINMA will contest the judgment of 1 October 2025 and appeal to the Federal Supreme Court.

Why this matters

This regulatory update from FINMA concerns the write-down of AT1 capital instruments, which is a key prudential requirement for banks. The fact that FINMA is appealing the court's decision indicates this is an important issue for the banking sector.

Sectors:
Banking & CreditCapital Markets & Trading
Topics:
Prudential / Capital RequirementsAuthorisation & Licensing
Bank
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