Does an untied broker have to register with FINMA?
In detail
The exact requirements and registration forms are published on FINMA’s website.
FINMA does not supervise registered intermediaries on an ongoing basis, but it may carry out checks.
FINMA does not settle private disputes between an intermediary and its clients.
What the law says
The Insurance Supervision Act (ISA) and its ordinance (ISO) provide for the registration of untied intermediaries. FINMA publishes the requirements and procedure.
In practice
Check your status, gather proof of qualifications and your insurance certificate before applying, then keep your registration number with the brokerage’s documents.
How Tacita helps
Tacita helps you see what is missing before an inspection: signed mandates, provable disclosure, continuing education and the FINMA registration status of the broker and its advisers. It replaces neither registration nor a review of your situation.
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Common questions