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Financial Services Regulatory & Compliance

Regulatory & Compliance - key strategic dimensions in Financial Services

Regulations & Compliance

In an increasingly interconnected and transparent world where non-compliance is no longer an option, there are significantly altered perceptions and expectations of clients and regulators. As a consequence of the so called “Regulatory Tsunami”, Regulation and Compliance have become key strategic dimensions and a top management responsibility for financial intermediaries.

In particular, those who operate in more than one jurisdiction or provide services to clients based outside their home market face significant challenges, as they must often comply with different regimes and requirements. To succeed, robust and holistic approaches to structuring, implementing and monitoring the relevant procedures and to documenting and reviewing them on a regular basis are needed. This requires early identification and strategic, business-centric interpretation of emerging regulations, the establishment of efficient strategies and processes for their implementation, and robust frameworks and controls to ensure ongoing compliance throughout the lifecycle of financial institutions, products and services.

What we do for clients

The dedicated Legal FS Regulatory & Compliance Services team supports banks, insurance companies, securities dealers, fund management companies, asset managers of collective investment schemes, independent asset managers and stock exchanges as well as regulatory authorities and national governments in all areas of financial market law. The particular focus of our interdisciplinary team lies on providing advice and support throughout the process of implementing the new regulations, from the initial impact assessment and gap analysis through solution and implementation design to full implementation and testing support and project management.

We also specialize in structuring, authorization and ongoing lifecycle management of financial institutions and their products. Our specialists also have significant experience in special investigations and due diligence mandates relating to financial institutions. We also continuously create specialist analysis and industry reports for financial institutions, governments, industry associations and regulators.



For financial intermediaries Regulation has swiftly become a key strategic dimension and top management responsibility. The ability to efficiently and effectively implement new requirements and ensure ongoing compliance is critical for sustainable business success.

Günther Dobrauz Leader Legal

Contact us

Dr. Günther Dobrauz

Dr. Günther Dobrauz

Partner and Leader Legal, PwC Switzerland

Tel: +41 58 792 14 97

Dr. Antonios  Koumbarakis

Dr. Antonios Koumbarakis

Sustainability & Strategic Regulatory Leader, PwC Switzerland

Tel: +41 58 792 45 23