Legal services for banks, securities firms, and FinTech enterprises

The current regulatory landscape

Navigating the continuously evolving landscape of financial market regulations poses a considerable challenge for financial institutions globally. With regulators and supervisory bodies regularly updating and tightening their demands, organisations such as banks, securities firms and FinTech enterprises face increasing pressure to ensure compliance while maintaining operational efficiency. Staying informed of changes and implementing strong compliance measures are essential for thriving in today's market.

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Our multidisciplinary team

We are specialised in banking, securities and fintech regulation, combining diverse backgrounds and interdisciplinary expertise, with deep knowledge of financial markets regulation, supervisory standards and the Swiss financial industry and its regulators and supervisory bodies.

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Our services

We are the trusted partner for both well-established financial institutions and innovative start-ups. Our legal and regulatory practice is committed to providing bespoke solutions tailored to the specific needs of banks, securities firms and FinTech enterprises.

Our expertise spans the entire lifecycle of financial institutions, from inception to ongoing legal, regulatory and compliance matters. Our advice extends beyond Switzerland to include the Principality of Liechtenstein and the EU. We deliver comprehensive support to help you navigate the intricate legal and regulatory landscape and effectively address compliance issues. Trust us to stand by you at every stage, securing the success and stability of your venture in the continuously evolving financial industry.

By leveraging our extensive industry knowledge and collaborating closely with our colleagues in the tax, legal and workforce, the advisory as well as the assurance practices, we guarantee that our clients receive the most practical and operationally sound advice at all times.

Your benefits

One-stop shop
Holistic and integrated approach
Tailor-made solutions
Combined expertise in traditional banking and FinTech business models
Interdisciplinary know-how

We can support you with the following services:

We support you in finding the right setup for your business and aligning it with the legal and regulatory requirements.

We support you in getting licensed as bank, securities firm or FinTech enterprise with FINMA.

Licensed banks, securities firms and FinTech enterprises must report any change that affects their FINMA license. We help you to make the desired changes and take over the communication with FINMA.

We help you design and implement an adequate legal framework and compliance procedures. This includes developing the necessary policies, processes and process descriptions.

We can prepare a feasibility study for you or submit a request to the relevant authority regarding feasibility (so called no-action letter).

We provide guidance on establishing and implementing an adequate AML and KYC framework, including drafting the required documentation and procedures.

We advise you on outsourcing matters and draft relevant documentation and contracts.

We provide guidance on cross-border activities and help you mitigate cross-border risks.

We draft agreements, general terms and conditions and other legal documents.

We are aware of the potential tax implications for your company and employees and can help you navigate the challenges. You can find our tax dedicated offering here.

We have corporate lawyers inhouse. We support you in all corporate law matters, including the formation of companies or changes to them.

Get in touch with us

Please send us your message via the contact form. We look forward to hearing from you.

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Regulatory developments

Synopsis of the most important regulatory developments in the banking and asset management industry.

This report analyses the latest regulatory trends impacting the banking and wealth management sectors and includes comments to important aspects, changes and status.

PwC Legal's Regulatory Radar for banks, securities firms, and FinTech enterprises

Since the global financial crisis, regulatory reform has become a top priority for financial institutions, leading to a significant increase in the scope and number of regulations worldwide. This surge in regulatory changes poses particular challenges for international financial corporations, which must navigate overlapping and sometimes contradictory rules. Timely awareness of regulatory updates is essential to avoid missing critical topics such as FinSA, which can drastically alter the financial services industry. In response to these challenges, the Regulatory Radar has been developed as a web-based solution that provides tailored summaries and analyses of regulatory initiatives, helping organizations respond effectively. PwC's extensive monitoring network ensures that users receive comprehensive updates on regulatory developments across various jurisdictions, ultimately aiding in timely and adequate compliance measures.

Navigating the Global Crypto Landscape with PwC: 2024 Outlook

Notable advancements have been made in global digital asset regulation throughout 2023, however, there is still much work to be done. This year’s report explores important topics that will shape the future landscape of the industry, including the cost of global operations, global regulatory frameworks and policies, global prudential standards, the influence of the EU’s Markets in Crypto-Assets Regulation (MiCAR), and regulatory developments in over 40 jurisdictions.