Finance and regulatory duties

• Asset manager: prepare the authorisation dossier↗

  France and Switzerland define regulated asset-management activities through different frameworks.

• Securities offer: prospectus and distribution records↗

  France and Switzerland apply distinct prospectus rules and exemptions.

• Crowdfunding project: map instruments and money flows↗

  France and Switzerland examine crowdfunding through different regulatory structures.

• AML due diligence: prepare the customer file↗

  France and Switzerland impose sector-specific anti-money-laundering duties.

• Financial suspicion: prepare the reporting analysis↗

  France and Switzerland use different regulated financial-suspicion reporting frameworks.

• Asset freezing: document measures and actions↗

  France and Switzerland apply their own financial-sanctions measures.

• Investment service: document suitability assessment↗

  France and Switzerland distinguish the actual investment service and the information relevant to its assessment.

• Disputed securities order: reconstruct execution↗

  France and Switzerland require a contested securities order to be examined from its actual instruction and execution records.

• CRS and FATCA: prepare institutional reporting records↗

  France and Switzerland have distinct institutional tax-reporting arrangements for CRS and FATCA.

• Client funds: document the safeguarding method↗

  France and Switzerland tie client-fund protection to the actual provider status and activity.

1. cmf : art. L532-9legifrance.gouv.fr
2. LEGISCTA000006123943legifrance.gouv.fr
3. Ordonnance sur les établissements financiers / FINIV / OIsFifedlex.admin.ch
4. Loi sur les établissements financiers / FINIG / LIsFifedlex.admin.ch
5. cmf : art. L412-1legifrance.gouv.fr
6. cmf : art. L412-2legifrance.gouv.fr
7. lsfinfedlex.admin.ch
8. LSFin : Art. 35 Obligation de publier un prospectusfedlex.admin.ch
9. LSFin : Art. 36 Exceptions selon le type d’offrefedlex.admin.ch
10. cmf : art. L547-1legifrance.gouv.fr
11. exercer une activite de prestataire de services de financement participatif psfp en franceamf-france.org
12. Fedlex 51/117_121_129/20261001/frfedlex.admin.ch
13. Fedlex 2014/273/20250101/frfedlex.admin.ch
14. cmf : art. L561-5legifrance.gouv.fr
15. cmf : art. L561-6legifrance.gouv.fr
16. 20250423_Lignes_directrices_obligations_Tracfin.pdfbanque-france.fr
17. lbafedlex.admin.ch
18. blanchiment dargentfedpol.admin.ch
19. cmf : art. L561-15legifrance.gouv.fr
20. 20250423_Lignes_directrices_obligations_Tracfin.pdfbanque-france.fr
21. lbafedlex.admin.ch
22. blanchiment dargentfedpol.admin.ch
23. cmf : art. L562-4legifrance.gouv.fr
24. dispositif national de gel des avoirstresor.economie.gouv.fr
25. lbafedlex.admin.ch
26. faq sanctions suisseseco.admin.ch
27. cmf : art. L533-13legifrance.gouv.fr
28. LEGISCTA000006184916legifrance.gouv.fr
29. lsfinfedlex.admin.ch
30. osfinfedlex.admin.ch
31. cmf : art. L533-18-2legifrance.gouv.fr
32. La_bonne_execution_de_votre_ordre_de_bourse.pdfamf-france.org
33. 2026 10 31legifrance.gouv.fr
34. lsfinfedlex.admin.ch
35. osfinfedlex.admin.ch
36. transferts dinformations en application des dispositifs crsdac2impots.gouv.fr
37. transferts dinformations en application de la loi fatcaimpots.gouv.fr
38. echange automatique de renseignements earestv.admin.ch
39. bases legales et publications earestv.admin.ch
40. cmf : art. L522-17legifrance.gouv.fr
41. cmf : art. L522-18legifrance.gouv.fr
42. LEGISCTA000006123943legifrance.gouv.fr
43. lbafedlex.admin.ch
44. Fedlex 51/117_121_129/20261001/frfedlex.admin.ch
45. Fedlex 2014/273/20250101/frfedlex.admin.ch

Texts cited last checked: 2 November 2026

• Home
• Customs and international trade
• Products and conformity
• Agriculture and food