Banking, Finance & FinTech

Guiding you through the maze of banking and financial regulations

Proper financing is key to a successful business, as is keeping up to date with the ever-evolving regulatory framework.

Our team consists of experienced banking and financial services experts with a deep understanding of the Swiss financial services industry. We have long-standing experience in advising Swiss and foreign financial institutions such as banks, securities firms, portfolio managers, trustees, and Self-Regulatory Organizations (SROs) as well as Supervisory Organizations (SOs).

Our assistance extends to regulatory, compliance and transactional matters as well as investigations and proceedings before various Swiss authorities and courts.

Apart from advising classic financial institutions, we have an established practice for Blockchain, Fintech and Crypto companies in matters such as ICOs and regulatory proceedings.

In all our assignments, we work closely with our teams in Corporate and M&A, Tax and Dispute Resolution.

Range of Services

Among our comprehensive range of services, we:

  • assist banks, securities firms, fund managers, portfolio managers, trustees and other financial service providers in licensing procedures
  • assist in the legal aspects of the structuring, licensing and distribution of collective investment schemes, as well as other financial products
  • structure and draft contractual documentation relating to financial services
  • advise financial service providers on the establishment of subsidiaries and branches
  • advise on cross-border service offerings
  • support the foundation of fintech and crypto ventures and advise on regulatory aspects
  • advise clients on anti-money laundering requirements
  • accompany clients in regulatory investigation scenarios
  • accompany the issuance of bonds, derivatives, structured products and equity securities
  • advise clients in financing transactions such as bilateral and syndicated loans, project finance, trade finance, mezzanine finance and M&A finance
  • assist clients with M&A transactions involving financial service providers
  • represent clients in banking, civil, criminal and enforcement proceedings
  • are FINMA-accredited to audit financial institutions
  • support clients in connection with administrative and judicial legal assistance

Contact us or have a look at our other practice Teams.

Recent Cases

  • Assisting an asset manager in obtaining a FINMA's authorization as collective asset manager under the Financial Institution Act (FinIA)
  • Assisting an asset manager, active in the structured product field, in obtaining a FINMA's authorization as portfolio manager under the Financial Institution Act (FinIA)
  • Assisting several financial institutions in complying with the Financial Services Act (FinSA)
  • Assisting a new Supervisory Organization (SO) in obtaining its authorization as such from FINMA in accordance with the Financial Institution Act (FinIA)
  • Assisting a Clients Advisor Register to obtain its authorization as such from FINMA in accordance with the Financial Services Act (FinSA)
  • Advising a Swiss bank in the implementation of a cooperation agreement with a collective asset manager
  • Assisting a Swiss bank in the context of its acquisition of another banks' clients portfolio
  • Assisting a portfolio management company in the context of its merger with another portfolio manager
  • Assisting the liquidators of a Swiss fund management company ("Direction") in all legal matters relating to a FINMA enforcement proceeding
  • Representing a financial intermediary in a FINMA enforcement proceeding further to an alleged violation of the Swiss anti-money laundering rules

Latest Publications

Banking, Finance & FinTech

Team