National Supervisory Authority & Licensing Qualification Dossier • European Economic Area & Switzerland
BCBS
Switzerland (Multilateral / G20)Basel Committee on Banking Supervision (Bank for International Settlements)
Source / Native Reference: 巴塞尔银行监管委员会 (国际清算银行)
- Supervisory tier
- Tier-1
- License classes
- 2
- Licensed records
- 0
- Active / regulated
- 0
Statutory Supervisory Mandate & Scope
The Basel Committee on Banking Supervision (BCBS), hosted by the Bank for International Settlements (BIS) in Basel, is the primary global standard-setter for the prudential regulation of banks, issuing the Basel III Endgame framework (CET1 capital ratios, LCR, NSFR, FRTB market risk, and SCO60 cryptoasset prudential exposure standards).
Prudential Tier Assessment
Tier-1Tier-1 national capital markets, securities, and derivatives supervisory authority in Switzerland (Multilateral / G20), IOSCO member standards-aligned.
National licensing qualifications & statutory authorisation classes (BCBS)
Authorisation categories, permitted institutional and retail activities, minimum initial capital adequacy, and ongoing prudential solvency rules enforced by BCBS in Switzerland (Multilateral / G20).
| License class / code | Official designation | Permitted institutional & retail activities | Minimum initial / base capital | Ongoing prudential & solvency rule |
|---|---|---|---|---|
| Category 1 / Principal Broker-Dealer | Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) | Dealing as principal or market maker in securities, FX, CFDs, futures, options, and underwriting. | USD $500,000 – $1,000,000+ (or EUR €750,000) minimum regulatory capital | Risk-weighted capital adequacy + minimum liquid capital buffer ≥ 25% of annual fixed overheads. |
| Category 2 / Agency Broker & Asset Manager | Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence | Order execution, reception and transmission of client orders, discretionary portfolio management, and investment advisory. | USD $150,000 – $250,000 (or EUR €150,000) minimum base capital | Strict client money segregation, best-execution monitoring, and quarterly regulatory financial returns. |
Investor compensation, client money segregation & digital-asset regime
Statutory counterparty protections, custody reconciliation mandates, and virtual-asset licensing status under BCBS.
National Investor Protection / Compensation Scheme (Switzerland (Multilateral / G20))
- Maximum coverage per client
- EUR €20,000 – USD $100,000+ equivalent per eligible retail investor
- Eligible counterparties & scope
- Retail clients of licensed securities and investment brokerage firms.
BCBS Client Money & Safe Custody Segregation Rules
- Reconciliation & audit cadence
- Daily reconciliation of segregated client trust bank accounts against client trading ledger balances.
- Approved custodian requirements
- Client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories.
BCBS Digital Asset / Tokenized Securities & VASP Regulatory Framework
- Travel Rule, custody & stablecoin rules
- FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
Primary Governing Statutes & Rulebooks
- Securities and Capital Markets Act of Switzerland (Multilateral / G20)
- BCBS Licensing, Prudential Capital Adequacy & Conduct of Business Rules
- Client Money & Custody Asset Segregation Regulations (Switzerland (Multilateral / G20))
- IOSCO Principles of Securities Regulation & National AML/CFT Rulebook
Regulatory Reporting & Audit Obligations
Quarterly capital adequacy returns and annual IFRS audited financial statements submitted to BCBSAnnual independent auditor attestation on Client Money and Safe Custody complianceTransaction reporting, market abuse surveillance (MAR), and AML/CFT suspicious activity reporting
Cross-Border Equivalence & Passporting
Eligible for EU/EEA MiFID II and MiCA cross-border freedom-of-services passporting across 30 EEA member states.
Supervised institutions & BCBS licence records in our database
0 licence records referencing BCBS (0 regulated/registered).
BCBS (Switzerland (Multilateral / G20)): institutional licensing & due diligence FAQ
Key statutory capital, compensation, custody segregation, and verification answers for compliance teams.
What are the primary licensing classes and minimum capital requirements under BCBS (Switzerland (Multilateral / G20))?
BCBS (Basel Committee on Banking Supervision (Bank for International Settlements)) supervises financial institutions in Switzerland (Multilateral / G20) under Securities and Capital Markets Act of Switzerland (Multilateral / G20) and BCBS Licensing, Prudential Capital Adequacy & Conduct of Business Rules. Key statutory authorisation classes include: Category 1 / Principal Broker-Dealer (Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) — min. capital: USD $500,000 – $1,000,000+ (or EUR €750,000) minimum regulatory capital); Category 2 / Agency Broker & Asset Manager (Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence — min. capital: USD $150,000 – $250,000 (or EUR €150,000) minimum base capital). Ongoing prudential supervision requires strict adherence to capital adequacy and liquidity buffers.
Does BCBS provide statutory investor compensation and mandatory client asset segregation?
Under BCBS's framework, investor protection is governed by National Investor Protection / Compensation Scheme (Switzerland (Multilateral / G20)) with maximum coverage of EUR €20,000 – USD $100,000+ equivalent per eligible retail investor (Retail clients of licensed securities and investment brokerage firms.). For client money and custody assets, supervised firms must comply with BCBS Client Money & Safe Custody Segregation Rules, performing daily reconciliation of segregated client trust bank accounts against client trading ledger balances. with client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories..
How does BCBS regulate digital assets, crypto exchanges (VASPs/CASPs), and stablecoins?
BCBS's digital-asset regime is structured around BCBS Digital Asset / Tokenized Securities & VASP Regulatory Framework (Unified EU MiCA (Regulation (EU) 2023/1114) CASP licensing and DLT Pilot Regime.). Custody and AML/CFT compliance obligations require: FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
How can I verify an institution's BCBS licence number and check our 0 recorded licence entries?
Our database currently tracks 0 licence records referencing BCBS (0 marked regulated or registered). To verify a counterparty at the primary source, open BCBS's official public register (https://www.bis.org/bcbs/membership.htm), search by the exact reference number and legal entity name, and confirm that the firm's domain and permitted activities match its statutory authorisation.
Related regulatory & market structure briefings
Research and compliance analysis from Euro Firm Ledger relevant to BCBS and Switzerland (Multilateral / G20).
EEA Passporting
Continental European Firm Roll: Auditing 564 EEA & Swiss Financial Institutions Across MiFID II and MiCA Passports
Tracking how investment firms and digital asset service providers headquartered in Germany, Cyprus, France, Switzerland, and the Netherlands deploy EEA passports.
Competent Authorities
National Competent Authority Tie-Out: Cross-Checking BaFin, AMF, CySEC, and FINMA Registers Against GLEIF LEI Records
Eliminating cross-border clone risk in the European Economic Area by tying national authorisation numbers to active GLEIF Legal Entity Identifiers.
Statutory licensing classes, base capital rules, and investor protection summaries for BCBS (Switzerland (Multilateral / G20)) are maintained for institutional benchmarking and do not constitute legal advice. Always verify current rulebooks and active firm authorisations directly on BCBS’s official public register.