Financial Services and Regulatory

Financial Services and Regulatory

We represent a wide range of Swiss and international banks, securities dealers, insurance companies, asset managers, pension funds, other financial service providers, self-regulatory authorities and financial industry associations.

Our key competences include:

  • Authorization from all regulatory authorities, such as the Swiss Financial Markets Supervisory Authority FINMA, including licenses for banks, securities dealers, insurance companies and asset managers as well as for exchanges, trading facilities, CCPs, trade repositories and representative offices
  • Advice to financial service providers as to the relevant governance and organisational requirements as well as regulatory, notification and disclosure obligations of licensed institutions
  • Advice to Swiss and foreign financial institutions on the requirements relating to rules of conduct, suitability, categorisation of clients, cost transparency, including inducements, target markets as well as pre- and post-trade reporting
  • Advice as to the cross-border provision of financial services in or from Switzerland
  • Regulatory opinions on all aspects linked to financial services such as those relating to capital adequacy requirements (netting and collateral opinions)
  • Structuring and drafting of contractual documentation relating to financial services
  • Litigation, investigation and enforcement procedures
  • Insolvency and reorganisation of financial intermediaries

We view the proactive monitoring of and participation in the legislative process in the financial services areas as key to our clients' interests. Our longstanding cooperation with national governmental and self-regulatory authorities and international financial industry associations and our involvement in national and international ad hoc working groups put us at the forefront and in many instances allow us to take an active role in such legislative process, whilst allowing us to provide our clients with timely advice for their strategic decisions and ongoing regulatory and compliance issues.