Regulatory and Compliance

Financial services providers operate in a complex environment, subject to rapidly changing rules and regulations. Our regulatory and compliance team can support you with in-depth expertise in the financial industry as well as vast practical field experience. We advise on legal questions affecting banks, securities firms, insurance companies, collective investment schemes (including fund managers and asset managers), Fintech institutes, other financial intermediaries and regulatory authorities. Our legal expertise covers the following areas:

• Anti-money laundering legislation (AMLA)
• Financial Services Act (FinSA)
• Financial Institutions Act (FinIA)
• Public and private banking law
• Financial Market Infrastructure Act (FinMIA)
• Collective Investment Schemes Act (CISA)
• Insurance legislation
• Corporate law and data protection law in the financial marketESG regulation and legal issues in sustainable finance
• International Tax Compliance (QI, FATCA, AEoI, etc.)

Benefit from our comprehensive array of services in:

• Compliance
• Digital Regulatory Monitoring
• Corporate governance
• Insourcing of the Compliance function
• Legal and regulatory due diligence
• Appraisals and regulatory legal opinions
• Advisory on regulatory related matters
• Contracts
• Directives and processes
• Outsourcing solutions
• Forensics
• Legal and compliance risk management
• Client Due Diligence Report
• Service platform for asset managers

In addition to being well-versed in financial market law, our legal advisors have extensive practical experience in the financial sector. Due to our broad range of services, BDO can respond to your specific needs, relying on the vast expertise of our specialists throughout Switzerland and the international BDO network.