Survey documents

Supervisory reporting

Name of survey
AUR_U, AUR_UEA, AUR_UES, AURH_U
AUR_K, AUR_KEA, AURH_K
Forms
AUxxx (Forms are only available in German and French)
Coverage
Data according to the circular on supervisory reporting (banks), issued by the Swiss Financial Market Supervisory Authority (FINMA; FINMA-Circ. 08/14)
Type of survey
Full sample survey for: AUR_U, AUR_UES, AURH_U
Partial sample survey for: AUR_UEA, AUR_K, AURH_K, AUR_KEA
Reporting institutions
AUR_U, AUR_UES, AURH_U: All banks and securities dealers as defined in FINMA-Circ. 08/14 margin no. 4
AUR_K, AURH_K: Financial groups as defined in FINMA-Circ. 08/14 margin nos. 5 and 6
AUR_UEA, AUR_KEA: Banks and securities dealers as defined in Chapter 2, paragraph 9 of the Notes on the breakdown of assets under management
Reporting entity
Individual basis: AUR_U, AUR_UEA, AUR_UES, AURH_U
Consolidated basis: AUR_K, AUR_KEA, AURH_K
Frequency
Annually per reference date of annual financial statements for: AUR_U, AUR_UEA, AUR_UES, AUR_K, AUR_KEA
Annually per reference date of interim financial statements for: AURH_U, AURH_K
Deadline
60 days
Participants
Swiss Financial Market Supervisory Authority (FINMA)