Licenses

Registrations and authorizations of Nexonix Profit in Switzerland


Responsibility Authorization / Registration Supervisory authority
Federal level (Switzerland) Authorization as a financial intermediary in accordance with the Anti-Money Laundering Act (AMLA) FINMA – Swiss Financial Market Supervisory Authority, Berne
AML compliance Membership of a recognized self-regulatory organization (SRO) for the fulfilment of AMLA obligations SRO recognized by FINMA
Banking business Banking license for the acceptance of deposits and the safekeeping of client funds FINMA – Banking Supervision, Berne
Securities and derivatives Authorization as a securities dealer or trading platform FINMA – Market Supervision, Berne
Financial services (FIDLEG / FINIG) Authorization under the Financial Services Act (FinSA) and the Financial Institutions Act (FinIA) for investment advice and asset management FINMA, Berne
Exchanges and trading platforms Registration as an organized trading venue SIX Swiss Exchange Regulation, Zurich (under FINMA supervision)
Cantonal requirements Entry in the commercial register and tax registration in the respective cantons Local commercial register offices of the cantons