SET-UP AND LICENSING
We help financial institutions setting-up in Switzerland and advise on licenses necessary for their respective activities. We then assist in obtaining relevant regulatory approvals with SRO (Self-Regulatory Organizations) or FINMA as applicable. This includes licensing as Banks and Securities Firms, Asset Managers, Portfolio Managers and Trustees or Financial Intermediaries subject to Anti-Money Laundering regulations.
We help financial institutions navigating the specifics of transactions in the financial industry. This involves also succession planning for the owners and managers of financial institutions.
OUTSOURCING OF REGULATORY FUNCTIONS
With our team of experienced professionals, we provide outsourcing solutions of regulatory functions such as Compliance and Risk Officers so that the financial institution can focus on its core business.
AGREEMENTS AND DOCUMENTATION
We draft client agreements as well as regulatory information and documentation necessary for the life cycle of the client relationship. Further, we help design and draft internal policies and procedures tailored to the business scope of each financial services provider.
KYC REVIEWS AND INVESTIGATIONS
Our Compliance Experts assist in in-depth KYC reviews of clients or prospects of financial institutions in order to identify or mitigate risks. Our KYC reports are based on the combination of manual and artificial intelligence driven searches in relevant databases and the web and is compiled in a user friendly format.
We provide Legal & Compliance trainings in a variety of subjects for Financial Institutions in order to keep their organizations compliant and up-to-date.