Financial Market and Supervisory Law
You have the right to trust the financial market.
Financial markets and regulatory law form the legal framework governing the activities of banks, insurance companies, and financial service providers. Our attorneys advise banks, asset managers, FinTech companies, and investors on all matters of regulatory supervision. We provide support in licensing procedures, the design of second-line governance frameworks, anti-money laundering prevention, and in proceedings before regulatory authorities such as FINMA. The aim is to create legal certainty and to ensure that business models are structured in a sustainable and compliant manner.
Expertise in Financial Market and Supervisory Law
- Swiss Financial Market Supervisory Authority (FINMA) and licensing procedures
- Banking and insurance law
- Collective investment schemes law (fund law)
- Financial Services Act (FinSA)
- Financial Institutions Act (FinIA)
- Anti-Money Laundering Act (AMLA) and compliance
- FinTech and blockchain regulation
- Stock exchange law and market supervision
- Capital markets law and issuance of securities
- Administrative proceedings and supervisory measures
Team
You have the right to advice.
FAQ
Practical Issues in Financial Market and Supervisory Law
When is a FINMA licence required?
Whenever a company offers banking, insurance, or financial services, or carries out asset management activities. We assess whether your business model is subject to licensing requirements and guide you through the application process.
What does the FIDLEG require of financial service providers?
The FinSA imposes obligations relating to transparency, suitability and appropriateness assessments, and information duties towards clients. Its purpose is the protection of investors. We assist in implementing these duties into your contracts and internal processes.
How can I avoid compliance risks?
Through clear internal policies, regular training, and independent monitoring measures. Our attorneys support you in developing compliance frameworks and managing suspected breaches.
What obligations arise in cases of suspected money laundering?
Financial intermediaries must file a suspicious activity report with the Money Laundering Reporting Office (MROS) without delay and, where necessary, freeze assets. We advise you on legally sound procedures and communication with the authorities.
What is particularly relevant for FinTech start-ups?
Innovative business models are in part subject to simplified regulatory frameworks (sandbox, FinTech licence). Nevertheless, due diligence duties and data protection requirements continue to apply, which we ensure are properly reflected in your business model.
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