Banking and Finance
Regulatory
Our lawyers represent our clients on complex domestic and cross-border regulatory issues before the Swiss Financial Market Supervisory Authority (FINMA) and submit applications to be licensed or authorized in Switzerland as a:
- bank or branch of a foreign bank;
- security dealer or branch of a foreign securities dealer;
- representative office of a foreign bank or securites dealer;
- member of a Swiss stock exchange;
- insurance company and insurance broker;
The Firm also handles the license application for financial intermediaries with the Swiss Financial Market Supervisory Authority (FINMA) or with Self Regulatory Organizations under the Swiss Anti-Money Laundering Act.
We assist our clients in complying with the requirements set forth in the Swiss Banking Act, the Stock Exchange and Securities Trading Act (SESTA), the Collective Investment Scheme Act and related ordinances, circulars and notices. We provide ongoing advice to clients that are financial intermediaries on the requirements set forth in the Anti-Money Laundering Act and on filings and reporting obligations with the various supervisory authorities.