{"id":671,"date":"2026-06-13T15:11:45","date_gmt":"2026-06-13T15:11:45","guid":{"rendered":"https:\/\/epireg.ch\/?p=671"},"modified":"2026-06-15T08:48:13","modified_gmt":"2026-06-15T08:48:13","slug":"la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous","status":"publish","type":"post","link":"https:\/\/epireg.ch\/en\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\/","title":{"rendered":"FINMA publishes its enforcement case law \u2014 what this means for you"},"content":{"rendered":"\n<section  class=\"mt-40 mb-80\">\n\t<div class=\"sizing-narrow\">\n\n\t\t\t\t<div class=\"style-p2 text-center\">\n\t\t\t<span class=\"text-accent\">\u00ab<\/span> Notre bo\u00eete \u00e0 outils se compose aujourd\u2019hui principalement d\u2019un marteau<br \/>\r\n(l\u2019enforcement) et d\u2019un carton rouge (le retrait de la licence ou de la garantie d\u2019une activit\u00e9<br \/>\r\nirr\u00e9prochable). <span class=\"text-accent\">\u00bb<\/span>\t\t<\/div>\n\n\t\t\t\t\t\t\t<div class=\"text-center\">\n\t\t\t\t<span class=\"text-accent\">\u2014&nbsp;<\/span>Marlene Amstad, pr\u00e9sidente de la FINMA (conf\u00e9rence annuelle, 21 avril 2026)\t\t\t<\/div>\n\t\t\n\t<\/div>\n<\/section>\n\n\n<section  class=\"\">\n\t<div class=\"sizing-narrow\">\n\t\t<div class='wysiwyg'><p><span style=\"font-size: 24px;\"><strong>Autorisation et surveillance des gestionnaires de fortune et trustees<\/strong><\/span><\/p>\n<ol>\n<li style=\"list-style-type: none;\">\n<ol>\n<li><strong>Retrait d\u2019autorisation et liquidation d\u2019un gestionnaire de fortune<\/strong> (20.06.2025) \u2014 Un gestionnaire de fortune (X SA) avait obtenu son autorisation sous condition qu\u2019il remplisse les exigences de fonds propres et de capital minimum dans un d\u00e9lai imparti. Non seulement la soci\u00e9t\u00e9 n\u2019a pas rempli ces exigences, mais elle a affirm\u00e9 faussement \u00e0 la FINMA que tel \u00e9tait le cas, puis a continu\u00e9 \u00e0 promettre une mise en conformit\u00e9 rapide qui n\u2019est jamais survenue. La FINMA a retir\u00e9 l\u2019autorisation et ordonn\u00e9 la liquidation. Un recours est pendant devant le Tribunal administratif f\u00e9d\u00e9ral.<\/li>\n<li><strong>Irrecevabilit\u00e9 d\u2019une demande d\u2019autorisation<\/strong> (07.07.2025) \u2014 Saisie d\u2019une demande d\u2019autorisation d\u00e9pos\u00e9e en f\u00e9vrier 2023, la FINMA a adress\u00e9 plusieurs demandes compl\u00e9mentaires portant notamment sur le nombre et la qualit\u00e9 des investisseurs du fonds g\u00e9r\u00e9. Face au silence persistant du requ\u00e9rant malgr\u00e9 les relances, la FINMA a d\u00e9clar\u00e9 la demande irrecevable pour manque de collaboration (art. 13 al. 2 PA).<\/li>\n<li><strong>Rejet d\u2019une demande d\u2019autorisation de trustee<\/strong> (27.10.2025) \u2014 L\u2019examen de la demande a r\u00e9v\u00e9l\u00e9 qu\u2019un dirigeant (A) avait \u00e9t\u00e9 condamn\u00e9 p\u00e9nalement pour escroquerie par m\u00e9tier et faux dans les titres. Le conseil d\u2019administration connaissait cette condamnation avant l\u2019engagement de A et l\u2019avait dissimul\u00e9e \u00e0 la FINMA. Ce manque de transparence a conduit au constat que le trustee et son conseil d\u2019administration n\u2019offraient pas la garantie d\u2019une activit\u00e9 irr\u00e9prochable, justifiant le rejet de la demande.<\/li>\n<li><strong>Objections contre des modifications d\u2019un contrat de fonds<\/strong> (19.12.2025) \u2014 Trois investisseurs d\u2019un fonds de placement se sont oppos\u00e9s \u00e0 des modifications du contrat de fonds soumises \u00e0 l\u2019approbation de la FINMA. Apr\u00e8s analyse, la FINMA a consid\u00e9r\u00e9 que les adaptations pr\u00e9vues ne constituaient pas un \u00e9largissement mat\u00e9riel des objets de placement, mais des concr\u00e9tisations d\u2019une politique d\u00e9j\u00e0 largement formul\u00e9e. Les objections ont \u00e9t\u00e9 rejet\u00e9es et les modifications approuv\u00e9es.<\/li>\n<\/ol>\n<\/li>\n<\/ol>\n<p><strong><span style=\"font-size: 24px;\">Surveillance du march\u00e9<\/span><\/strong><\/p>\n<ol>\n<li style=\"list-style-type: none;\">\n<ol>\n<li><strong>Front running et interdiction de pratiquer<\/strong> (12.12.2025) \u2014 Un n\u00e9gociant employ\u00e9 par une banque a exploit\u00e9 \u00e0 plusieurs reprises des informations d\u2019initi\u00e9s obtenues dans l\u2019exercice de ses fonctions, en passant des ordres \u00e0 titre priv\u00e9 avant l\u2019ex\u00e9cution d\u2019importantes transactions pour un fonds g\u00e9r\u00e9 par son employeur. Il n\u2019avait pas non plus d\u00e9clar\u00e9 son d\u00e9p\u00f4t priv\u00e9. La FINMA a qualifi\u00e9 ces agissements de violations graves et r\u00e9p\u00e9t\u00e9es du droit de la surveillance et lui a interdit de pratiquer pour une dur\u00e9e de trois ans.<\/li>\n<li><strong>Activit\u00e9 de maison de titres sans autorisation<\/strong> (07.07.2025) \u2014 Entre d\u00e9cembre 2020 et mars 2024, deux personnes physiques (A et B) ont, avec une soci\u00e9t\u00e9 aujourd\u2019hui en liquidation, vendu plus de 19 millions d\u2019actions nominatives \u00e0 des investisseurs, encaissant au moins 5,3 millions de francs. La FINMA a constat\u00e9 l\u2019exercice non autoris\u00e9 d\u2019une activit\u00e9 de n\u00e9gociant en valeurs mobili\u00e8res, prononc\u00e9 des ordres de s\u2019abstenir publi\u00e9s pour cinq ans (A) et trois ans (B), et ordonn\u00e9 la confiscation d\u2019environ 4,2 millions de francs de gains indument acquis.<\/li>\n<\/ol>\n<\/li>\n<\/ol>\n<\/div>\t<\/div>\n<\/section>\n\n\n<section  class=\"my-40\">\n\t<div class=\"sizing-narrow flex justify-center\">\n\n\t\t\n    <a href=\"https:\/\/www.finma.ch\/fr\/news\/2026\/04\/20260421-mm-jmk-2026\/\" target=\"_blank\" title=\"Conf\u00e9rence annuelle 2026 de la FINMA\"  class=\"color-primary-dark button-component group\/button w-fit flex items-center justify-center text-14 leading-130 select-none text-primary-dark  \"  >\n\n                            <span class=\"label px-20 py-12 uppercase border border-current rounded-full\">Conf\u00e9rence annuelle 2026 de la FINMA<\/span>\n                \n                            <span class=\"icon w-42 h-42 p-12 flex justify-center items-center border border-current rounded-full group-hover\/button:bg-accent group-hover\/button:border-accent transition-all duration-medium group-hover\/button:-rotate-45\">\n                <span class=\"w-full h-full  transition-all duration-medium \">\n                    <svg xmlns=\"http:\/\/www.w3.org\/2000\/svg\" width=\"100%\" height=\"100%\" viewBox=\"0 0 18 14\" fill=\"none\">\n  <path d=\"M0 6.83074H16.6964M16.6964 6.83074L10.8527 0.56958M16.6964 6.83074L10.8527 13.0919\" stroke=\"currentColor\" stroke-width=\"1.5\" stroke-linecap=\"round\" stroke-linejoin=\"round\"\/>\n<\/svg>                <\/span>\n            <\/span>\n        \n    <\/a>\n\t\n\t<\/div>\n<\/section>\n\n\n<section  class=\"my-40\">\n\t<div class=\"sizing-narrow flex justify-center\">\n\n\t\t\n    <a href=\"https:\/\/www.finma.ch\/fr\/documentation\/reporting-sur-l%E2%80%99enforcement\/kasuistik\/\" target=\"_blank\" title=\"Enforcement de la FINMA - casuistique 2025\"  class=\"color-primary-dark button-component group\/button w-fit flex items-center justify-center text-14 leading-130 select-none text-primary-dark  \"  >\n\n                            <span class=\"label px-20 py-12 uppercase border border-current rounded-full\">Enforcement de la FINMA &#8211; casuistique 2025<\/span>\n                \n                            <span class=\"icon w-42 h-42 p-12 flex justify-center items-center border border-current rounded-full group-hover\/button:bg-accent group-hover\/button:border-accent transition-all duration-medium group-hover\/button:-rotate-45\">\n                <span class=\"w-full h-full  transition-all duration-medium \">\n                    <svg xmlns=\"http:\/\/www.w3.org\/2000\/svg\" width=\"100%\" height=\"100%\" viewBox=\"0 0 18 14\" fill=\"none\">\n  <path d=\"M0 6.83074H16.6964M16.6964 6.83074L10.8527 0.56958M16.6964 6.83074L10.8527 13.0919\" stroke=\"currentColor\" stroke-width=\"1.5\" stroke-linecap=\"round\" stroke-linejoin=\"round\"\/>\n<\/svg>                <\/span>\n            <\/span>\n        \n    <\/a>\n\t\n\t<\/div>\n<\/section>\n\n\n<section  class=\"my-40\">\n\t<div class=\"sizing-narrow flex justify-center\">\n\n\t\t\n    <a href=\"https:\/\/www.linkedin.com\/feed\/update\/urn:li:activity:7454943528398286848\/\" target=\"_blank\" title=\"LinkedIn\"  class=\"color-primary-dark button-component group\/button w-fit flex items-center justify-center text-14 leading-130 select-none text-primary-dark  \"  >\n\n                            <span class=\"label px-20 py-12 uppercase border border-current rounded-full\">LinkedIn<\/span>\n                \n                            <span class=\"icon w-42 h-42 p-12 flex justify-center items-center border border-current rounded-full group-hover\/button:bg-accent group-hover\/button:border-accent transition-all duration-medium group-hover\/button:rotate-[20deg] group-hover\/button:!bg-white group-hover\/button:!border-white group-hover\/button:text-accent\">\n                <span class=\"w-full h-full  transition-all duration-medium  group-hover\/button:scale-125 \">\n                    <svg xmlns=\"http:\/\/www.w3.org\/2000\/svg\" width=\"100%\" height=\"100%\" fill=\"none\" viewBox=\"4.25 4.25 25.5 25.39\">\n    <path d=\"M27.8375 4.25H6.1625C5.1 4.25 4.25 5.1 4.25 6.05625V27.8375C4.25 28.7938 5.1 29.6437 6.1625 29.6437H27.8375C28.9 29.6437 29.75 28.7938 29.75 27.8375V6.05625C29.75 5.1 28.9 4.25 27.8375 4.25ZM11.7938 25.925H8.075V13.8125H11.7938V25.925ZM9.9875 12.1125C8.81875 12.1125 7.75625 11.1563 7.75625 9.88125C7.75625 8.60625 8.7125 7.65 9.9875 7.65C11.1562 7.65 12.2188 8.60625 12.2188 9.88125C12.2188 11.1563 11.1562 12.1125 9.9875 12.1125ZM26.0312 25.8187H22.3125V19.8688C22.3125 18.4875 22.3125 16.575 20.2938 16.575C18.275 16.575 18.0625 18.1687 18.0625 19.6562V25.7125H14.3438V13.8125H17.85V15.4062H17.9562C18.4875 14.45 19.7625 13.3875 21.5687 13.3875C25.3937 13.3875 26.1375 15.9375 26.1375 19.2313V25.8187H26.0312Z\" fill=\"currentColor\"><\/path>\n<\/svg>                <\/span>\n            <\/span>\n        \n    <\/a>\n\t\n\t<\/div>\n<\/section>","protected":false},"excerpt":{"rendered":"<p>FINMA has just published its enforcement case law. These anonymised cases send a clear signal as to what the authority sanctions, and how.<\/p>","protected":false},"author":3,"featured_media":473,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[1],"tags":[],"class_list":["post-671","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-uncategorized"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.8 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>La FINMA publie sa casuistique en mati\u00e8re d\u2019enforcement \u2014 ce que cela signifie pour vous - EpiReg<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/epireg.ch\/en\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\/\" \/>\n<meta property=\"og:locale\" content=\"en_GB\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"La FINMA publie sa casuistique en mati\u00e8re d\u2019enforcement \u2014 ce que cela signifie pour vous - EpiReg\" \/>\n<meta property=\"og:description\" content=\"La FINMA vient de publier sa casuistique en mati\u00e8re d\u2019enforcement. Ces cas anonymis\u00e9s constituent un signal clair sur ce que l\u2019autorit\u00e9 sanctionne, et comment.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/epireg.ch\/en\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\/\" \/>\n<meta property=\"og:site_name\" content=\"EpiReg\" \/>\n<meta property=\"article:published_time\" content=\"2026-06-13T15:11:45+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2026-06-15T08:48:13+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/epireg.ch\/wp-content\/uploads\/2026\/04\/policier-marteau-et-carton-rouge.png\" \/>\n\t<meta property=\"og:image:width\" content=\"1402\" \/>\n\t<meta property=\"og:image:height\" content=\"1122\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/png\" \/>\n<meta name=\"author\" content=\"Thibault Gugelmann\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Thibault Gugelmann\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/epireg.ch\\\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\\\/#article\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/epireg.ch\\\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\\\/\"},\"author\":{\"name\":\"Thibault Gugelmann\",\"@id\":\"https:\\\/\\\/epireg.ch\\\/#\\\/schema\\\/person\\\/9dd3c88bb45967c406f79b03460295fc\"},\"headline\":\"La FINMA publie sa casuistique en mati\u00e8re d\u2019enforcement \u2014 ce que cela signifie pour vous\",\"datePublished\":\"2026-06-13T15:11:45+00:00\",\"dateModified\":\"2026-06-15T08:48:13+00:00\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/epireg.ch\\\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\\\/\"},\"wordCount\":16,\"publisher\":{\"@id\":\"https:\\\/\\\/epireg.ch\\\/#organization\"},\"image\":{\"@id\":\"https:\\\/\\\/epireg.ch\\\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/epireg.ch\\\/wp-content\\\/uploads\\\/2026\\\/04\\\/policier-marteau-et-carton-rouge.png\",\"articleSection\":[\"Uncategorized\"],\"inLanguage\":\"en-GB\"},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/epireg.ch\\\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\\\/\",\"url\":\"https:\\\/\\\/epireg.ch\\\/la-finma-publie-sa-casuistique-en-matiere-denforcement-ce-que-cela-signifie-pour-vous\\\/\",\"name\":\"La FINMA publie sa casuistique en mati\u00e8re d\u2019enforcement \u2014 ce que cela signifie pour vous - 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