Financial Market Regulation
We represent the interests of the Swiss market and its participants in an even more strictly regulated market, also by acting as an important voice in the drafting of new legislation. As a result, we are established experts in the field of financial market regulation and transactions, interest for complex structures and proceedings.
- Advising banks, securities dealers, investment firms, insurance companies, financial market infrastructure and other regulated companies
- Preparation and management of licensing approval procedures
- Advice on licensing requirements and the legal framework for providing banking and financial services
- Advice on private banking law, in particular the design and development of banking and finance contracts
- Representation of market participants in courts and in front of supervisory authorities
- Support with questions regarding compliance with Swiss financial market law
- Advising incumbents and new entrants in open banking and fintech projects
Regulatory Matters
We are renowned for our expertise and vast experience in all aspects of Swiss financial market regulation. Our services are aimed at Swiss and international companies, banks, securities dealers, investment firms, collective investment schemes, asset managers and insurance companies.
- Advising on all aspects of banking, securities, derivatives, insurance and other regulation and dealing with relevant governmental agencies
- Obtaining FINMA authorizations for banks, securities dealers, insurance companies, investment firms, collective investment schemes, and other financial intermediaries
- Advising on cross-border service provision
- Advising financial market infrastructures, payment services providers and fintech providers on applicable Swiss and international standards and design of contractual framework
- Advising issuers, custodians and platforms in connection with digital assets
- Advising clients on compliance with Swiss financial market regulation, including sanctions and anti-money laundering requirements
- Advising on bank restructuring, including recovery and restructuring plans of banks
Regulatory Capital
We lead the way in structuring complex and innovative capital market transactions and accompany the issuance of bonds, regulatory capital instruments and other hybrid instruments (see also here):
- Structuring and documenting the issuance of contingent convertible bonds (CoCos), write-down bonds, total loss-absorbency capital (TLAC) instruments and covered bonds
- Advising regulated issuers on «going concern» and «gone concern» capital requirements and liquidity requirements
- Structuring and documentation for the issuance of equity securities
Regulatory Investigations and Proceedings
We are the first law firm in Switzerland setting up a large team of experienced experts in the area of regulatory investigations and proceedings before Swiss and foreign authorities. Our core competencies include:
- Conducting internal investigations in a regulatory context
- Representing clients in proceedings before FINMA
- Coordinating domestic and international regulatory proceedings and investigations
