At the end of 2024, Finma concluded that Leonteq had breached risk management obligations in connection with the distribution of its financial products abroad. The regulator subsequently confiscated profits of more than 9 million francs and ordered measures aimed at restoring compliance with regulatory requirements.

Leonteq has now announced that these measures were implemented with high priority throughout 2025. Their implementation was reviewed by an independent audit agent appointed by Finma during the second half of 2025 and the first quarter of 2026.

Strengthening the Governance and Compliance Framework

In a statement, Leonteq said that Finma has now confirmed that all measures imposed following the conclusion of the 2024 proceedings have been completed. As a result, there are no longer any pending regulatory proceedings against Leonteq Group entities.

According to the company, this provides greater clarity and certainty for the continued execution of its strategic priorities.

«The successful completion of the ongoing review with our principal supervisory authority marks an important milestone for Leonteq and reflects our extensive efforts to continuously strengthen our governance and compliance framework,» said Chief Executive Officer Christian Spieler.

Comprehensive Programme Implemented

Leonteq highlighted the comprehensive programme it has carried out in recent years to strengthen its global compliance and risk management functions.

The company has appointed new leaders and specialists to key management and expert roles, reduced the number of target markets, and terminated all remaining relationships with unregulated financial intermediaries. In addition, its internal control system has been enhanced through the introduction of new policies and the expansion of monitoring activities.

The effectiveness of the company’s internal control functions has been further improved through substantial investments in personnel, processes, technology and data analytics. Leonteq has also made significant investments to strengthen transaction monitoring and oversight of its distribution chain.