Contributions

Short comments on financial market enforcement topics

Contributions, comments or references by GEFI members and interested and knowledgeable parties on issues related to financial markets enforcement. The views and opinions expressed in published contributions are solely those of the authors and do not necessarily reflect the views of GEFI. The Board of Directors of GEFI reserves the right to decline any submission at its sole discretion.

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Enforcement of financial regulation in Switzerland

June 26, 2025 | Roy Gava

How has FINMA effectively used its enforcement toolbox in response to breaches of supervisory law?

This working paper presents an original and publicly available dataset on regulatory enforcement by the…

Fining powers for FINMA?

June 25, 2025 | Urs Zulauf

FINMA wishes to have the authority to impose fines. The Federal Council will at least examine the proposal. Parliament is also thinking about letting FINMA fine individual managers. At least

GEFI – Global Enforcement in the Financial Industry: Inaugural Webinar – Save the Date

April 14, 2025 | Urs Zulauf

“Without enforcement, laws and regulations are just wishful thinking by policymakers. That applies also to financial services and capital markets.”
(GEFI annual report 2024)

The “Global Enforcement…