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Warning of possibly unauthorized providers
Various activities in the financial sector require a license from FINMA. If FINMA receives information that providers - consciously or unconsciously - are carrying out activities without a license for which such a license would be required, it will initiate appropriate investigations. If the suspicion is confirmed, FINMA can use so-called enforcement proceedings against unauthorized providers and take measures that can lead to the liquidation of the company.
FINMA maintains and publishes a warning list. FINMA has initiated investigations into the companies and persons on this list for illegal activity, but has not been able to further clarify the suspicion because the companies have not complied with their obligation to provide information to FINMA or have provided false information. In addition, it can be included in the warning list if the FINMA investigations suggest that there is an immanent, significant risk to investors from providers. An entry in the warning list does not necessarily mean that the activity carried out by the company listed is illegal. By including such companies in the warning list, FINMA indicates that they do not have a license. Affected companies will be removed from the list as soon as FINMA has been able to carry out the necessary investigations and any adjustments.
Special warnings are given against providers against whom FINMA has already issued an order and who have seriously violated regulatory provisions: publications in accordance with Art. 34 of the Financial Market Supervision Act.
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