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Regulatory

Whether you are a bank, insurance company, stockbroker, investment company or fund management company, we will help you to construct efficient corporate structures and assist you in the development of company documentation and processes. The analysis of regulatory requirements is also one of our core competencies, along with contacting the relevant financial market authorities in Switzerland and abroad. During the implementation stage, we will guide you through the various approval procedures with the supervisory authorities.

In the case of cross-border projects, we will clarify the effects of dealing with foreign countries using impact and gap analyses and will offer you country-specific strategic solutions that take the regulatory environment into account.

Our core competencies

  • Preparing applications for permits in connection with the founding/restructuring and relocation of head offices of banks, insurance companies, stockbrokers and collective capital investments.
  • Developing the documentation required for regulatory authorisation (e.g. articles of association, company and competency regulations, company-internal directives, market strategy guidelines, codes of conduct).
  • Clarifying regulatory issues in banking and capital market law (e.g. Money Laundering Act, outsourcing services, data protection, banking secrecy, MiFID).
  • Compiling prospectuses, contracts and company documentation for collective capital investments.

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