Affected Swiss companies 2171

  • Dear ladies and gentlemen,
    I am writing my bachelor thesis for University of St. Gallen at the moment. It covers the Sarbanes-Oxley Act and focuses on the control environment. In order to conduct empirical research I need to contact the companies that have to comply with the SOX. Therefore I would like to know of you could tell me which Swiss companies have to comply due to listing requirements or which companies comply voluntarily.
    I would be very grateful if you could either tell me that or give me some advise where to look for that information.
    Thanks a lot in advance and
    kind regards

  • There would appear to be 232 Swiss companies that file with the SEC.
    Go onto the SEC website and go to the EDGAR Company Search which can be found at and search based on the country code for Switzerland ( V8 ) this should give you a good starting point.
    Exclude’Ownership Forms’ from your search criteria as this will slightly clutter the results.

  • Denis is there any way we can know how many companies are under purview of SOX using edgar and if possible the breakdown between number of Accelerated and non accelerated filers…Just curious about the numbers.

  • It’s probably too late for Calvin, but the easier way is to go to the Securities and Exchange Commision’s website to the Division of Corporation Finance and to check the list of foreign private issuers, which is sorted by Geography (i.e. country) and look which Swiss issuers are listed there.
    In addition, one can use the SEC’s search funtion in EDGAR to check if there have been any registrations of new companies since the date of the last compilation of the list or whether any issuers have deregistered their securities with form 15 in the meantime.
    Most publications in Swiss articles have had material omissions in the description to which types of foreign issuers the SOA applies (my newest article in Der Schweizer Treuhnder is a safer source).

Log in to reply