Regulatory & Compliance Support

With an increasing focus on financial institutions by regulators across the world, the MLL Legal team supports financial institutions, insurers, asset managers and other market participants on complex investigations and regulatory enforcement matters in various areas of regulation, e.g. market misconduct and insider trading; the sale of financial products; internal systems and controls; and financial crime issues.

Areas of expertise

  • Anti-Money laundering issues and reportings
  • Handling of requests for international legal assistance
  • Internal regulations for regulatory compliance for banks
  • Setting up of compliance procedures / forms / manuals
  • Pre-screenings for external or special audits
  • Internal reports, surveys and/or investigations
  • Special reports for FINMA / support in handling FINMA related issues
  • Internal educational workshops (AML, KWC, insider rules, etc.)

Other relevant areas

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

“Use case discussed, parameters agreed and then professional and silent execution. Clear expectation management through experienced senior lawyer”

IFLR 1000, 2021-22

Related to this Practice Area


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