Banking & Finance: Regulatory

Categories of clients:

• Banks and securities dealers
• Investment funds, fund managers, fund management companies, representatives and investor groups
• Distributors of funds, structured products and insurance products
• Commercial and industrial companies and international organisations in their financing problems
• Independent asset managers
• Trustees, audit companies and fiduciary companies

Areas of specialisation :

• Banking and Financial Regulations
• Collective Investment Schemes and other similar strutures
• Regulations on the Supervision of Private Insurance
• Asset Management
• Financing

Types of work handled :

• Pre-Enforcement and Enforcement proceedings (FINMA)
• Banking & Finance Litigation
• Company Mergers and Mergers by Absorption
• Licence under the new Financial Institutions Act
• Banks' Due Diligence
• Cross-border banking activities

Recent work highlights :

• Appointment by FINMA to investigate the activities of a Swiss company
• Advice to a borrower on a syndicated credit facility agreement
• Assist bank clients and portfolio managers in financial civil litigations
• Assist a portfolio manager in licensing process under the Financial Institutions Act (FinIA)
• Advice with regard to ESG
• Verify the annual compliance of a Swiss bank in its role as custodian of foreign investment funds
• Represent a bank in a complex multiparty set of proceedings in Ireland
• Advice to a bank in a transaction involving the OFAC sanction issues