Financial Regulation Lawyers Switzerland
We assist banks and financial intermediaries with financial regulation advisory for banking and finance in Switzerland and Europe.
FINMA authorisations
The FINMA authorisation procedure requires not only knowledge of the law, but also of the processes involved in obtaining it.
Banking and Financial Regulatory Consulting
Our experts will assist you not only with regard to LSerFI, LICol, LIsFi, but also Mifid II, AIFMD and European regulation.
Training
We help corporate governance through our training courses on topical subjects such as ESG, digital signatures, FATCA and SAI.
Frequently Asked Questions
What is the difference between a FINMA banking licence and a securities firm licence?
A banking licence is required for entities that accept deposits from the public and conduct credit operations. A securities firm licence is required for entities that trade in securities on a professional basis for third parties or on their own account. The specific activities of your business determine which authorisation is required, and Lexify can advise on the most appropriate regulatory structure.
Does a Swiss asset manager need a FINMA licence?
Yes, since the entry into force of the Financial Institutions Act (FinIA), independent asset managers and trustees in Switzerland must obtain a licence from FINMA and affiliate with a supervisory organisation (SO). Lexify assists clients through this entire process.
What does MiFID II compliance require for a Swiss firm accessing EU clients?
Swiss firms providing investment services to EU-based clients must comply with MiFID II’s requirements regarding investor protection, transparency, and reporting. This often requires establishing an EU-based entity or obtaining an equivalence recognition. Lexify advises on the optimal structure for cross-border market access.