Regulatory & Compliance Services

Legal and regulatory support for financial service providers


Our “Regulatory & Compliance Services” team is composed of a number of lawyers specialising in financial markets who can support you in the application and interpretation of egulatory law. Specifically, our services include:

  • Advising and representing financial service companies when applying for licences and in procedings before the regulatory authority
  • Proposing solutions for business activities subject to authorisation pursuant to the BA/SESTA/CISA/AMLA.
  • Assessing, advising on and finalising statutes, regulations, internal directives and standard agreements.
  • Provision of expert opinions and advice on regulatory issues and on matters subject to the financial market penal code.
  • Assessing potential violations of the law or statutes.
  • Plausibility checks of provisions made for litigation.

We also offer services for the following sectors in the financial services industry:

 

Banks and securities dealers

  • Advisory services in connection with regulatory licensing procedures; preparing the licence application and the necessary documentation; representing the financial institute before the authorities.
  • Assessing and drawing up bank-specific standard agreements (loan agreements, account opening documentation including GTCs, co-operation agreements with external asset managers, etc.)
  • Assessing and drawing up statutes, articles of association, corporate policies and internal directives
  • Assessing a company's compliance structures, conducting gap analyses and benchmarking
  • Providing expert opinions and advising on issues concerning the banking act and the Stock Exchange and Securities Trading Act (licensing, guarantees, outsourcing, data protection, banking secrecy, code of conduct for securities dealers, journal-keeping and notification requirements, commissions, internal control system).
  • Providing expert opinions and advising on regulatory aspects of financial markets (insider offences, price manipulation, legal assistance and support in dealing with authorities, AMLA notification duties)
  • Advisory services concerning adherence to AMLA due diligence and AMLA audits.
  • Evaluating the effects of international regulations, such as MiFID, on companies.
  • Liquidations (voluntary or compulsory) and legal services for M&A transactions (including due diligence)
  • Trainings and workshops on regulatory issues (money laundering, deposit protection)  

Collective investment schemes and structured products

  • Advising on structuring and establishment of collective investment schemes and launchs of structured products
  • Advising on the distribution or issue of domestic and foreign investment funds and structured products; regulatory assessment of distribution concepts
  • Assessing and preparing documentation (internal policies, prospectuses)
  • Assisting representatives of foreign investment funds in adhering to regulatory duties (submitting interim and year-end financial statements, notification of changes made to prospectuses, preparing mandatory publications)
  • Advisory services in connection with listing investment funds and structured products on the SWX Swiss Exchange.

Asset management

  • Assessing, advising on and drawing up standard agreements, such as asset management agreements (including commission clauses and finder’s fees)
  • Reviewing adherence to the asset management industry’s professional standards and to the duty of diligence (know-your-customer, anti-money laundering act)
  • Advisory services and representing companies in connection with SRO affiliation procedures
  • Advisory services in connection with AMLA due diligence



For reasons of professional independence, we cannot offer our audit clients the full range of the above-mentioned services. The scope and type of services offered is determined on a case-by-case basis.


Our experts in the general legal department will be pleased to be of assistance to you in questions concerning corporate law. 


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