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, Self-Regulatory Organizations (SROs) and 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 our established practice for classic financial institutions we are very experienced in Blockchain, Fintech and Crypto ventures which we advise and guide through ICOs, regulatory proceedings and related matters.

In all our assignments, we collaborate with our teams from 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 and 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 set-up 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 relation to requests for administrative assistance or legal assistance in criminal matters

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

Recent Cases

  • Assisting a financial service provider in obtaining a FINMA license as a manager of collective assets under the Financial Institutions Act (FinIA)
  • Assisting an asset manager, active in the structured product field, in obtaining a FINMA license as a portfolio manager under the Financial Institutions 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 Institutions Act (FinIA)
  • Assisting a Client 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 manager of collective assets
  • Assisting a Swiss bank in the acquisition of another bank's client portfolio
  • Assisting a portfolio manager in the context of its merger with another portfolio manager
  • Assisting the liquidators of a Swiss fund management company in all legal matters relating to a FINMA enforcement proceeding
  • Representing a financial intermediary in a FINMA enforcement proceeding in connection with an alleged violation of the Swiss anti-money laundering rules

Latest Publications

Banking, Finance & FinTech

Team