Financial Services & Regulatory

The MLL Legal regulatory team is helping clients to navigate the fast evolving regulatory environment, continuously increasing in complexity and in sequence of adaptation of new rules, at Swiss, EU and wider global levels. We advise clients both with regard to compliance with existing as well as upcoming regulatory requirements, acting for all types of market participants in the wider financial markets, active in banking, markets infrastructure, commodities, asset and wealth management, insurance or the various areas of FinTech.

Areas of expertise

  • Authorization for regulated entities (incl. bank licenses, securities dealers, insurance companies, asset managers, exchanges, trading venues, etc.)
  • Authorizations of representative offices and branches of foreign regulated entities
  • Governance and organizational requirements, regulatory, notification and disclosure obligations of licensed institutions
  • Advice Swiss and foreign financial institutions on requirements relating to conduct rules, suitability, client categorization, cost transparency, incl. inducements, target markets, pre- and post-trade reporting
  • Cross-border provisions of financial services in or from Switzerland / Contractual documentation relating to financial services
  • Investigation / enforcement procedures banks and other financial intermediaries before regulatory authorities / representation in civil and criminal proceedings
  • Reorganization of financial intermediaries

Other relevant areas

Asset ManagementInvestment Funds | Debt & Equity Capital MarketsStructured Finance & Lending | Trade & Commodity Finance | Aviation & Ship Finance | Islamic Finance | Derivatives, Structured Products | General Legal Documentation & Transaction Support | Regulatory & Compliance Support | FinTech | Private Banking | Payment Services



“Pragmatic, easy to talk to, very knowledgeable, quick turnaround” -  IFLR 1000, 2023


Related to this Practice Area

Publications

Client segmentation under FinSA

International Law Office, November 2019
  • EN

Classification of stablecoins under Swiss law: FINMA publishes amended guidelines

International Law Office, October 2019
  • EN

FDF proposes key changes to FinSO and FinlO

International Law Office, September 2019
  • EN

Blockchain – Aspetti legali e punti d’intervento del legislatore

Speaker at L'Associazione Internazionale Giuristi di Lingua Italiana (AIGLI), XXXII Convegno in Monopoli (BR), Italy, 26-29 September 2019
  • IT