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Financial license registration in Switzerland

December 13, 2019

Financial license registration in Switzerland
Registration of a financial license in Switzerland. Swiss banks are famous all over the world. They have earned their reputation for providing quality and reliable services.

Licensing for Forex traders in Switzerland was introduced only in 2009. Until that time, the protection of traders was not supposed, since the activities of brokers were not regulated.

Swiss Forex Broker License

FINMA is the Swiss financial market regulator. To obtain a license, an exchange dealer must meet all the requirements.

The exchange dealer can be a company or a private representative. The main activity is to conduct trades in the foreign exchange market, feasible for their own funds.

They can also trade in the public market, representing the interests of clients. Or independently develop and sell financial instruments.

Stock exchange dealer typology

Legally, the following types of foreign exchange brokers can be distinguished:

  1. Derivative firms are companies that are capable of developing financial instruments themselves. Trade securities on the public market on their own behalf or represent the interests of a third party;
  2. Own money brokers: professional brokers who trade securities for a short period of time. The implementation takes place at its own expense. As a result, they can get a good turnover in a year.
  3. Dealers on behalf of clients: such brokers trade in the foreign exchange market on their own behalf, both in their own interests and representing the interests of their clients. Or they take securities for responsible saving. For these purposes, intermediaries can be involved.
  4. Issuing institutions are also brokers who professionally trade in the foreign exchange market. They can sign securities on behalf of clients on a firm basis or, in determining the value, list them on the public market.
  5. Market makers professionally trade in the foreign exchange market at their own expense. The implementation is carried out for a short period. Maintain a flat rate.

In order to trade on the Forex market, you must first issue a license. The activity of exchanges is regulated by the documentary control of FINMA.

How to get a Forex license in Switzerland

An applicant for a license should not cast a shadow of doubt in his activities – then he can count on a favorable decision. There are several important criteria by which a dealer is assessed:

  1. A business plan that confirms the availability of sufficient capital and the reduction of all risks.
  2. Repaid minimum capital.
  3. Strategic and executive leadership should be of the highest level, the team should include only qualified representatives;
  4. The charter must accurately spell out the actual location, the typology of securities and foreign exchange markets, where they will be exhibited, and the categories of clients that are targeted. The charter can replace an agreement between partners or regulations. The area of activity that is in contact with the financial market must be prescribed.
  5. Only an organization whose management is organized in Switzerland is accepted.
  6. Responsibilities within the firm should be clearly separated among themselves – this applies to asset management, trading processes and settlements.
  7. All risks, such as legal, market, operational, credit, reputational, default and settlement risks, must be monitored and suppressed at all times.
  8. The regulated function of internal audit and control should not depend on the executive level of the company.
  9. There should be an external audit company that monitors activities not only during the licensing period, but also on an ongoing basis.
  10. If among all the participants there are representatives of other countries and such applicants are under the control of another country, then there must be mutual international guarantees.
  11. If the broker is a representative of a large financial or banking group, there must be competent supervision by an appropriate authority with a good reputation.

It should be understood that compliance with all the criteria does not mean automatic registration of a Forex license. The regulator can change the conditions, making them more difficult or, conversely, simplifying them.

How long does the registration process take?

It can take about six months to obtain a license for trading on the Swiss Forex market. The decision-making time is influenced by the quality of the submitted documents and their complexity. If a license is required for representatives of other countries, then an appeal to the competent authorities exercising supervision from the respective country will be required.

How to get a Forex broker license in Switzerland

You will definitely need to register a company for Forex. The country has very strict requirements, most likely, you will have to enlist the help of professionals.

Our company provides competent advice and assistance with registration in Switzerland. We provide support in the process of obtaining a license.

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