956.1 FINMAGLFINMA

CH

Art. 37 Bundesgesetz vom 22. Juni 2007 über die Eidgenössische Finanzmarktaufsicht (FINMAG) - Entzug der Bewilligung, der Anerkennung, der Zulassung oder der Registrierung

FINMAG; 2. Titel: Finanzmarktaufsichtsbehörde ; 3. Kapitel: Aufsichtsinstrumente

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Art. 37 FINMAG · Entzug der Bewilligung, der Anerkennung, der Zulassung oder der Registrierung

Die FINMA entzieht einer oder einem Beaufsichtigten die Bewilligung, die Anerkennung, die Zulassung oder die Registrierung, wenn die oder der Beaufsichtigte die Voraussetzungen für die Tätigkeit nicht mehr erfüllt oder aufsichtsrechtliche Bestimmungen schwer verletzt.

Mit dem Entzug verliert die oder der Beaufsichtigte das Recht, die Tätigkeit auszuüben. Die übrigen Folgen des Entzugs richten sich nach den anwendbaren Finanzmarktgesetzen.

Diese Folgen gelten analog, wenn eine Beaufsichtigte oder ein Beaufsichtigter tätig ist, ohne über eine Bewilligung, eine Anerkennung, eine Zulassung oder eine Registrierung zu verfügen.

← Art. 36 FINMAG Bundesgesetz vom 22. Juni 2007 über die Eidgenössische Finanzmarktaufsicht (FINMAG) - Gegenstand Art. 38 FINMAG →

Gerichtsentscheide zu dieser Bestimmung (27)

B-199/2025 (Art. 37 Abs. 1 FINMAG)

Financial Regulator vs. Disqualified Insurance Intermediary

This provision allows for the withdrawal of authorization, approval, license, or registration if the prerequisites for the activity are no longer met or if supervisory provisions are seriously violated.

B-274/2025 (Art. 37 Abs. 1 FINMAG)

Insurance Intermediary Removed for Failure to Disclose Criminal Conviction

This provision allows the supervisory authority to withdraw authorization, recognition, admission, or registration if the conditions are no longer met or if supervisory provisions are seriously violated.

BVGE-2024-IV-1 (Art. 37 Abs. 2 FINMAG)

Securities Classification of Tokens and Bankruptcy Appeals on Procedural Issues

Cited as the legal basis for the liquidation of an entity conducting unauthorized financial activities.

B-2714/2018 (Art. 37 Abs. 2 und 3 FINMAG)

Unauthorized Securities Dealer Ordered Liquidated

These provisions are cited as the legal basis for imposing liquidation as a consequence of severe violations of supervisory law when a subsequent permit cannot be granted.

B-5540/2018 (Art. 37 Abs. 3 FINMAG)

Unauthorized Securities Trading and Emissions House Activity Ruling

This provision is cited to grant the supervisory authority the power to take necessary measures, including prohibiting activities and liquidating companies, to investigate potential violations.

B-1172/2018 (Art. 37 Abs. 1 FINMAG)

Unlawful Public Deposits Scheme Liquidation and Prohibition

Allows FINMA to withdraw a license if requirements are no longer met or if supervisory provisions are seriously violated.

B-1172/2018 (Art. 37 Abs. 3 FINMAG)

Unlawful Public Deposits Scheme Liquidation and Prohibition

States that consequences of license withdrawal apply analogously if acting without a license.

B-5712/2015 (Art. 37 FINMAG)

Financial Authority's Decision Upheld: Unauthorized Securities Dealing and unlicensed Fund Operation Leads to Company Dissolution and Director Prohibition

Governs the consequences of withdrawing authorization or operating without one, including dissolution.

B-3380/2015 (Art. 37 FINMAG)

Liquidation Upheld Over Allegations of Investigator Bias and Company Solvency

Cited as the basis for the dissolution of a financial market participant who has grossly violated supervisory provisions.

B-5264/2015 (art. 37 LFINMA)

Insurance Companies Sanctioned for Supervisory Law Violations

FINMA's power to impose measures, including withdrawal of authorization, for failure to meet requirements.

B-2757/2015 (Art. 37 Abs. 2 und 3 FINMAG)

Company's "Olive Grove" Scheme Deemed Unlicensed Deposit Taking

Mandates the liquidation of a company if it conducts unauthorized banking activities and cannot obtain a subsequent license.

B-1906/2015 (Art. 37 Abs. 2 und 3 FINMAG)

*Regulator v. Unlicensed Deposit Taker (Director Liable)*

Used to assert that FINMA's enforcement powers extend to actors operating without a license.

B-6737/2014 (Art. 37 Abs. 1 FINMAG)

FINMA Liquidation and Director Bans Upheld for Unlicensed Financial Intermediation

FINMA's power to withdraw authorization, recognition, admission, or registration in case of severe violation of supervisory law.

B-6737/2014 (Art. 37 Abs. 3 FINMAG)

FINMA Liquidation and Director Bans Upheld for Unlicensed Financial Intermediation

Analogous application of consequences of withdrawal of authorization when an entity operates without the required license.

B-7096/2013 (Art. 37 Abs. 1 FINMAG)

Financial Intermediary License Revoked for AML Violations

Basis for withdrawing a license when an authorized entity no longer meets the requirements or seriously violates supervisory law.