Compliance
Lawful conduct by companies, their governing bodies and employees is an indispensable part of good corporate governance.
In particular for financial services firms such as banks, insurance companies and asset managers, statutory and regulatory compliance requirements are becoming ever more complex. Compliance topics are also gaining importance in other sectors, for example in the commodities and real estate industries.
With our focused approach and our broad experience, we cover all core areas of compliance and support our clients on a strategic, conceptual and operational level.
Our services include:- Design of efficient compliance programmes
- Assessment of compliance risks and existing compliance processes
- Performance of ongoing compliance activities in an outsourcing arrangement
- Review and remediation of client files regarding compliance with regulatory requirements such as AML provisions, disclosure and information duties
- Support of the internal compliance function through standardised service packages
- Background checks on transactions and clients involving elevated risks (incl. PEP)
- Conducting targeted compliance audits
- Drafting of regulations and directives
- Conducting training sessions
- Implementation of specific regulations, e.g. in the areas of anti-money laundering, know-your-client, market conduct rules, distribution regulation, cross-border regulation and anti-corruption
- Advising on complex regulatory matters
Our goal is to provide you with efficient and easy-to-understand solutions to complex challenges at competitive prices. We look forward to hearing from you — get in touch!
Legal & Regulatory
Following the financial crisis after 2008, substantial changes to the global regulatory framework have been initiated. Financial intermediaries like banks, insurance companies and asset managers are most heavily affected by the current wave of new regulations. However, the increasing degree and complexity of regulation also have an impact on other industries such as the commodities- and real estate business.
While in the past, the Swiss regulatory regime used to be relatively liberal, there is a clear trend towards alignment with (new) international standards. As a result, it has not only become more difficult for market participants to implement their strategies and business processes, but they are also facing increased compliance risks.
We are advising our clients on all core areas of regulatory law (with a special focus on Swiss financial markets regulation) as well as on any other industry-specific legal matters (e.g. contract law).
Our services include:- Advising on complex regulatory matters such as licensing requirements, rules of conduct, distribution regulation and cross-border business, anti-money laundering
- Representation of interests before supervisory authorities and self-regulatory or industry bodies
- Drafting of regulations and directives
- Drafting of industry-specific contracts, e.g. asset management and distribution agreements, loan agreements, custody agreements
- Performance of legal and regulatory due diligences
- Issuing expert opinions on regulatory topics
- Assessment of compliance risks and existing compliance processes
- Performing activities of the legal & compliance function in an outsourcing arrangement
- Preparation and performance of training sessions on regulatory topics
Our goal is to provide you with innovative and easy-to-understand solutions to complex challenges at competitive prices. We look forward to hearing from you - get in touch!
Outsourcing Solutions
Financial services firms like banks, insurance companies and asset managers are confronted with a growing number of substantive rules and formal requirements affecting their business. From an organisational perspective, particularly demanding standards have to be met by the compliance- and risk management function in terms of professional qualifications and segregation of duties.
This may be specifically challenging for smaller and medium-sized firms where the necessary specialist knowledge is not available in-house or an unwanted accumulation of duties cannot be avoided.
Outsourcing tasks and functions to an external service provider can be beneficial here. Such outsourcing also helps to make costs more variable and to focus on a company's core competencies.
With our highly qualified staff and our broad experience, we can support you with an outsourcing solution that is tailored to your needs.
Our services include:- Performing the activities of the internal anti-money laundering officer
- Performing the activities of the compliance function
- Performing the activities of the risk control function
- Support of the legal department in regulatory matters
- Support of the internal compliance function through standardised service packages
- Preparation and performance of training sessions on regulatory topics
Our goal is to provide you with efficient and easy-to-understand solutions to complex challenges at competitive prices. We look forward to hearing from you — get in touch!
Investigations
Misconduct by employees, executives and business partners can result not only in substantial financial losses but also in serious legal and reputational risks.
Through an internal investigation, illegal or unethical behaviour, compliance breaches and other irregularities at companies and authorities can be identified, the persons responsible can be determined and — where required — the relevant business processes can be improved.
Our team of attorneys and Certified Fraud Examiners has many years of experience in conducting internal investigations and serving as investigation officers on behalf of supervisory authorities. Our expertise covers in particular corporate governance, compliance, regulatory matters and white-collar crime.
WhistleblowingA central instrument for uncovering irregularities is the existence of a whistleblower system. Through an appropriate reporting office or whistleblowing function, risks can be identified at an early stage and financial damage can be limited.
We have been acting as an external reporting office for companies in the financial, services and real estate sectors for many years and therefore have the necessary experience and processes for the successful operation of a whistleblower system.
Our services include:- Conducting internal and external investigations at companies and authorities
- Representation and advice of companies and authorities in investigations by Swiss and foreign supervisory and law-enforcement authorities
- Design and assessment of compliance programmes
- Prevention consulting
- Drafting of internal directives
- Conducting training sessions
- Assumption of the whistleblowing function
Further information on our service offering in the area of Investigations & Whistleblowing is available in the corresponding factsheet.
Our goal is to provide you with innovative and easy-to-understand solutions to complex challenges at competitive prices. We look forward to hearing from you — get in touch!