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.
- 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 clients on compliance with Swiss financial market regulation, including anti-money laundering requirements
- Advising on bank restructuring, including recovery and restructuring plans of banks
Capital Markets
We lead the way in structuring complex and innovative capital market transactions and accompany the issuance of bonds, derivatives, structured products, and equity securities. Our core competencies include (see also here):
- Structuring and documenting the issuance of bonds, convertible bonds, and regulatory capital instruments
- Setting-up of issuance programs for bonds, structured products, and standardized derivatives
- 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
