We assist our clients—including financial institutions, financial intermediaries, FinTech startups, and trading companies—with financial market licensing procedures and all regulatory matters (e.g., submission of non-action letters to FINMA and affiliation processes with SROs). Additionally, we serve as an external partner for our clients in all AML-related questions and complex compliance matters.
Our Core Competencies
FINMA licence for asset managers, manager of collective assets , and fund management companies, as well as the registration of client advisors
We help you obtain the necessary FINMA license to operate as an asset manager, manager of collective assets, or fund management company in Switzerland. We meticulously guide you through the entire process, from preparing the application and drafting all necessary documentation (e.g., asset management agreements, AML guidelines, etc.) to submitting the application to the AO/FINMA, ensuring compliance with all regulatory requirements.
Support for financial intermediaries with SRO membership applications
Financial intermediaries must be a member of a Self-Regulatory Organization (SRO). We assist you with process for membership, prepare the necessary documentation, and handle communication with the SRO.
Advising on the implementation of regulatory requirements and documentation preparation
We help you correctly implement the regulatory requirements according to FinSA and FinIA within your company. This includes, in particular, the drafting of internal regulations (e.g., internal control systems or organizational regulations) and guidelines (e.g., for risk management and compliance or conduct rules in accordance with FinSA). Together, we ensure that your company accurately meets all legal requirements and that all processes are designed in compliance with Swiss law.
Drafting AML guidelines and analyzing AML risks in your company
For a compliant implementation of the Anti-Money Laundering Act (AML), we draft customized guidelines and organizational processes tailored to the specific requirements of your company.
Legal support on compliance matters and function as an External Compliance Officer (ECO)
For complex compliance matters, we provide you with legal support and practical solutions. Additionally, we can act as an External Compliance Officer for our clients to ensure independent oversight of compliance with Swiss AML regulations.
Representation in regulatory and criminal proceedings
In regulatory or criminal proceedings, we represent you before authorities such as FINMA (e.g., enforcement proceedings) or criminal prosecution authorities . We guide you throughout the entire process to safeguard your rights and minimize negative consequences.
Internal investigations
In internal investigations, such as when there is suspicion of violations of compliance requirements, we conduct thorough inquiries within your organization. We gather evidence, conduct employee interviews, analyze the legal situation, and help you implement the necessary corrective measures.
Financial market criminal law
In the field of financial market criminal law, we advise and defend you against allegations such as insider trading or market manipulation, as well as other criminal offenses under Swiss financial market law. We advocate for your interests and provide comprehensive support throughout the criminal proceedings.
