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Art. 149

951.31CISAFederal ActJan 1, 2007Original source
  1. Any person who wilfully does any of the following is liable to a fine not exceeding CHF 500,000:
    1. commits a breach of the provision concerning the protection against confusion or deception (Art. 12);
    2. provides non-permissible, false or misleading information in advertising material for a collective investment scheme;
    3. 1 .
    4. fails to file the required notification with FINMA, the Swiss National Bank or investors, or provides false information therein;
    5. 2 .
    6. 3 fails to keep the share register in terms of Article 46 paragraph 3 correctly;
    7. 4 commits a breach of the provision concerning the provision of information to investors and the designation of L-QIFs (Art. 118e );
    8. 5 commits a breach of the reporting duty under Article 118f paragraph 1.
  2. .6
  3. .7
  4. .8

Footnotes

  1. Repealed by Annex No 3 of the Financial Services Act of 15 June 2018, with effect from 1 Jan. 2020 (AS 2019 4417;BBl 2015 8901). ↩

  2. Repealed by Annex No 3 of the Financial Services Act of 15 June 2018, with effect from 1 Jan. 2020 (AS 2019 4417;BBl 2015 8901). ↩

  3. Inserted by No I 6 of the FA of 12 Dec. 2014 on the Implementation of the revised recommendations 2012 of the Financial Action Task Force, in force since 1 July 2015 (AS 2015 1389;BBl 2014 605). ↩

  4. Inserted by No I of the FA of 17 Dec. 2021, in force since 1 March 2024 (AS 2024 53;BBl 2020 6885). ↩

  5. Inserted by No I of the FA of 17 Dec. 2021, in force since 1 March 2024 (AS 2024 53;BBl 2020 6885). ↩

  6. Repealed by Annex No 3 of the Financial Services Act of 15 June 2018, with effect from 1 Jan. 2020 (AS 2019 4417;BBl 2015 8901). ↩

  7. Repealed by Annex No 9 of the Financial Market Infrastructure Act of 19 June 2015, with effect from 1 Jan. 2016 (AS 2015 5339;BBl 2014 7483). ↩

  8. Repealed by Annex No 14 of the Financial Market Supervision Act of 22 June 2007, with effect from 1 Jan. 2009 (AS 2008 52075205;BBl 2006 2829). ↩

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