Operational Regulatory Service

Relieving the pressure of regulatory change

With many financial services companies finding it increasingly hard to handle changing regulations and implement the new rules efficiently and compliantly, a growing number are seeking outside support. The bodies responsible for setting and enforcing the new rules are also under incredible pressure.

In the next three years the industry will have to contend with more than 100 new regulations – added to the hundreds it already has to comply with. MiFID II, PRIIP and GDPR merely pave the way for the next wave of new rules. Upcoming challenges include the Swiss equivalents, such as FinSA (FIDLEG)/FinIA (FINIG), the revised data protection act, the EBA Outsourcing Standards, and the EU’s Sustainable Finance Regulation.

PwC’s dedicated Operational Regulatory team is there to relieve the regulatory pressure – whether you’re a bank or a financial intermediary. Call us if you need expert relief.

Our services

The Operational Regulatory team supports financial intermediaries in all areas of financial market regulation.

The particular focus of our interdisciplinary team is providing advice and support throughout the process of implementing new regulations. Our strength lies in our ability to understand both the regulatory requirements and our clients’ different business set-ups, so that we can give them the specific guidance they need as they come to terms with the new rules.

Operational Regulatory provides you with practical support along five phases covering the entire regulatory life cycle.

Phase 1: Early identification – Regulatory Radar

  • Regular client events/management awareness training

Phase 2: Gap & legal assessment

  • Legal assessment of regulation
  • Gap assessment against the client’s set-up

Phase 3: Business requirements

  • Definition of business requirements
  • Implementation guidelines

Phase 4: Implementation

  • Support draws on combined strengths of PwC’s Assurance and Advisory lines of service
  • Regular legal advisor

Phase 5: Business as usual

  • Single point of contact for all regulatory issues

Your benefits

  • Clear-sighted guidance throughout the regulatory journey – from a team with a successful track record of implementing regulatory change initiatives
  • Less pressure on your regulatory, compliance and legal people
  • Strategic and operational support, all the way to implementation and post-implementation

 

EBA Outsourcing Guidelines

An exciting topic which will significantly affect the financial industry.

Download the guidelines

FinSA / FinIA

Analysis of the requirements of the Federal Financial Services Act and Financial Institutions Act applicable to financial intermediaries.

Download the requirements

The new Shareholder Rights Directive

Are you ready for the new requirements?

Download the brochure

PwC and Anevis Solutions Regulatory Suite

Outsourcing the generation of your regulatory documents.

Download the brochure



Feeling under pressure? We can provide relief.

Contact us to find out where the pressure lies and what we can do to help you alleviate it.

 

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

Head Strategic Regulatory & Sustainability Services, Legal, PwC Switzerland

Tel: +41 58 792 45 23

Philipp Rosenauer

Philipp Rosenauer

Head Legal Regulatory Implementation, Legal, PwC Switzerland

Tel: +41 58 792 18 56

Contact us

Dr. Günther Dobrauz

Dr. Günther Dobrauz

Partner and Leader Legal, PwC Switzerland

Tel: +41 58 792 14 97