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Registrations and authorisations of Boulder Sparhaven in Switzerland

Accountability

Authorisation / Registration

Regulatory body

Federal tier (Switzerland)

Authorisation as a financial intermediary in accordance with the Anti-Money Laundering Act (AMLA)

FINMA – Swiss Financial Market Supervisory Authority, Bern

AML compliance

Membership of a recognised self-regulatory organisation (SRO) for meeting AMLA obligations

SRO recognised by FINMA

Banking operations

Banking licence for accepting deposits and safeguarding client funds

FINMA – Banking Supervision, Bern

Securities and derivatives

Authorisation as a securities dealer or trading platform

FINMA – Market Supervision, Bern

Financial services (FinSA / FinIA)

Authorisation under the Financial Services Act (FinSA) and the Financial Institutions Act (FinIA) for investment advice and asset management

FINMA, Bern

Exchanges and trading venues

Registration as an organised trading venue

SIX Swiss Exchange Regulation, Zurich (under FINMA oversight)

Cantonal obligations

Entry in the commercial register and tax registration in the relevant cantons

Cantonal local commercial register offices