Asset Management

After many years of growing assets under management (AuM) and handsome margins, the asset management industry is now facing increasing pressure on costs and transparency as well as a wave of new and stricter regulations.

Financial market laws and regulations are affecting various players in the asset management sector by subjecting them to licensing, rules on professional conduct and other standards governing their core business activities.

We help our clients analyze and implement the regulations relevant to them and offer tailored solutions, so you can focus on your core business.

 

 

 

OUR SERVICES INCLUDE:

  • Legal and regulatory advice on industry-specific topics, e.g. in relation to licensing requirements, launch and distribution of collective investment schemes and structured products, cross-border issues, prevention of money laundering
  • License applications (FINMA) for collective investment schemes and their promoters and service providers, e.g. custodians, fund management companies, asset managers, representatives, distributors
  • Admission processes to self-regulatory and industry bodies
  • Representation of interests before supervisory authorities and self-regulatory or industry bodies
  • Assessment of compliance risks and existing compliance processes
  • Performance of ongoing compliance activities in an outsourcing arrangement
  • Drafting of internal regulations and guidelines
  • Drafting of industry-specific contracts such as asset management- and distribution agreements
  • Performance of legal and regulatory due diligences
  • Preparation and performance of training sessions on regulatory topics


It is our goal to provide intelligent and practical solutions to complex issues at competitive pricing. We are looking forward to you contacting us!