We have extensive experience in obtaining FINMA licenses and advise asset managers, fintech companies, banks, securities dealers, investment firms and collective investment schemes in all aspects of the Swiss financial market regulation. In addition, we advise in connection with cross-border financial services and assist clients in proceedings before the FINMA, SIX Swiss Exchange and the CDB Supervisory Board (VSB Aufsichtskommission).
In particular, we assist all asset managers, trustees, investment advisers and asset managers for pension funds or for collective investment schemes to make their business ready for FIDLEG and FINIG, which are expected to enter into force as per 1 January 2020.
Financial services providers must constantly adopt their compliance procedures to a changing regulatory environment. Our compliance practice focuses on AML issues and compliance for (regulated) asset managers.
In collaboration with our network, we offer outsourcing and body lending packages for compliance and risk management for regulated financial services providers.
We assist you in the selection of (independent) board members and suggest, if necessary, suitable candidates from our network.
We assist in all legal, regulatory & compliance projects in financial services regulation including compliance and are at your disposal also on short-notice staffing shortage.
We offer tailor-made internal training & coaching in financial services regulation topics including compliance.