History

History is part of the Asset management authorisation area and sets out the permissions, documentation and supervisory expectations relevant to this activity.

This SFMA page gives applicants and supervised institutions a practical view of the history topic. It explains when a licence, approval, notification or registration may be needed, what information should be prepared, and which changes may require contact with the authority.

Swiss collective investment schemes

This section explains how swiss collective investment schemes affects the history authorisation or registration topic. The relevant facts should be documented in a way that allows SFMA to understand the legal basis, operating responsibilities and supervisory implications.

Foreign collective investment schemes

Cross-border structures need particular care. The application should explain the foreign institution or product, the Swiss activity, home-country supervision where relevant, cooperation arrangements and how clients or market participants in Switzerland are protected.

Preparing a complete file

Applicants should keep the submission concise but complete: describe the activity, legal structure, people responsible, control framework, financial resources, relevant documents and any cross-border elements. Where uncertainty remains, the issue should be highlighted early rather than left to emerge during review.