- You are an independent asset manager: is the contract with your client in keeping with the most recent legal standards?
- Your financial institution holds the status of a securities dealer: would you like to relinquish that status (step down) – or seek a banking license (step up)?
- One of your clients suffers a substantial loss on a securities transaction: can your financial institution be held liable?
- Your financial institution is under scrutiny by a regulatory authority: Who will advise you on legal matters connected with the auditing procedure?
Battegay Dürr advises banks, financial intermediaries as well as asset managers and other financial service providers in all legal and regulatory matters. Our specialists in the field of capital markets and banking have many years of experience, will assist you in dealing with self-regulation organizations and, if necessary, represent you in proceedings before supervisory authorities and in court. We will also be glad to provide our private Clients with all possible advice and assistance in banking matters.
Do you have questions about capital markets and banking law? Then we look forward to hearing from you.
Services in the area of capital markets and banking
- Authorizations and business licensing
- Bank contracts and financial agreements
- Regulatory issues
- Development and implementation of compliance programs
- Cooperation with Swiss and foreign regulatory authorities