We have extensive experience and expertise in dealing with complex banking and financial matters, including:
We advise and represent Swiss and foreign banks, securities dealers, insurance companies, collective investment schemes promoters and managers in all regulatory matters including authorization, notification or enforcement procedures before the Swiss Financial Market Supervisory Authority (FINMA).
Anti-Money Laundering Regulations
We regularly assist financial intermediaries in identifying, assessing and managing the risks associated with money laundering and terrorist financing. Our expertise in business law, in particular in the area of tax, allows us to provide expert opinions on compliance issues, in particular regarding the reporting obligations with the Money Laundering Reporting Office Switzerland (MROS).
We assist banks, securities dealers, insurance companies, collective investment schemes promoters and managers as well as independent asset managers in the drafting and review of contractual documents (e.g. in relation to asset management, custody, derivatives, financing, repos, securities lending, general terms and conditions).
We also issue legal opinions on the validity and the enforceability of contractual documents in banking and financial matters (including collateral and netting opinions).
Collective investment schemes and pension funds
We advise and represent financial institutions and investors in relation to the legal aspects of Swiss and foreign collective investment schemes, including authorisation and registration procedures before the Swiss Financial Market Supervisory Authority (FINMA). We also have expertise with respect to the legal aspects of pension funds, including the management of their assets.
We advise our clients on the regulatory aspects of insurance activities, including on the licensing requirements for risk transfer activities.
We advise and represent securities dealers, trading platforms and issuers on capital market matters, including shareholding disclosures, rules of conduct and market abuses.
We perform internal investigations on behalf of banks and other regulated financial institutions in relation to potential regulatory breaches.