• Banking and financial law

    Banking and financial regulations

    • Motions for authorizations with FINMA for banks and financial institutions (portfolio managers, trustees, securities firms, etc.), affiliation to ombudsman’s offices and subordination to FINMA
    • Fintech licenses
    • Regulatory watch in the field of banking, stock market, anti-money laundering and counter terrorist financing
    • Implementation of new legislations (Financial institutions Act [FinIA], Financial services Act [FinSA], Initial Coin Offerings [ICO], Distributed ledger technology [DLT], etc)
    • FINMA enforcement procedures
    • International assistance in criminal and administrative matters
    • Representation of clients before the regulator and supervisory organizations (SO)
    • Blockchain and cryptocurrency

    Asset management

    • Set up of asset management companies
    • Advice on contractual issues

  • Ethics & Compliance

    • Corporate gorvernance and organizational consulting
    • Crisis management
    • Audits and preparation of internal and external audits
    • Legal and Compliance advice
    • Setup of Compliance IT systems
    • Development of contractual documents and internal directives
    • Intelligence service on reputation (due diligences)
    • Analysis of complex structures and transactional analysis
    • Embargos and blacklist management
    • Market abuses and insider trading management
    • High risks relations analysis, including PEPs
    • Communications to MROS
    • Crossborder issues
    • Tax Compliance
    • Ethics (human risks management and development of effective and integrative ethics programs)

  • Training

    • Trainings
    • Support and coaching of Legal, Compliance and Central File staff

  • Mode of intervention

    • From a few hours of advice, to project management, to full responsibility of the Compliance function (outsourcing), ad interim (in case of maternity leave, illness, accident) or on a helpline mode

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