Switzerland Securities Dealer License

FINMA Authorisation

Businesses must obtain formal authorisation from FINMA before conducting any securities dealing activities, submitting a comprehensive application covering business model, ownership structure, and intended services.

Minimum Capital Requirements

Applicants must demonstrate adequate initial capital in line with FINMA's requirements for securities dealers, ensuring financial stability from the outset.

Fit and Proper Management

Directors and senior management must meet FINMA's strict fit and proper standards, demonstrating relevant professional experience and a clean regulatory and financial history.

Risk and Compliance Framework

Firms must have robust internal controls, risk management systems, and compliance procedures in place to meet FINMA's ongoing supervisory expectations.

Competitive Corporate Tax Rates

Switzerland offers attractive corporate tax rates that vary by canton, allowing securities dealers to benefit from favourable tax conditions depending on where they are based.

No Capital Gains Tax on Securities

In many cases, gains from the sale of securities held as private assets are not subject to capital gains tax in Switzerland, making it advantageous for certain types of dealing activities.

Double Tax Treaty Network

Switzerland has an extensive network of double taxation agreements with countries worldwide, reducing withholding tax burdens on cross-border income and dividends.

Stamp Duty Considerations

Securities transactions may be subject to Swiss stamp duty, but careful structuring with professional guidance can help businesses manage and minimise this obligation effectively.

Global Financial Reputation

A Swiss securities dealer licence carries significant prestige, instantly enhancing the firm's credibility with institutional clients, investors, and counterparties across international markets.

Political and Economic Stability

Switzerland's long-standing political neutrality and economic strength provide a highly secure and predictable environment for running a regulated securities business.

Access to International Markets

Switzerland's position as a global financial hub gives securities dealers strong connectivity to major international capital markets, financial institutions, and investment networks.

Strong Confidentiality Framework

Switzerland maintains robust data protection and confidentiality standards, offering securities dealers and their clients a high level of privacy within a fully compliant legal framework.