Supervisory activities 

Regulation of banks and investment firms

Regulation of exchanges and of clearing and settlement providers

Conducting administrative and regulatory investigations and proceedings

Enforcement in Market Surveillance

Legislation in financial market law (Banking Act, Stock Exchange Act, market conduct)

Representation of the SFBC/FINMA in international bodies    

Consultancy services

Advising financial intermediaries on regulatory issues

Broad expertise in financial market regulation, in particular Switzerland and EU

Implementation of MiFID and EMIR and the corresponding Swiss regulation FinfraG, FINIG and FIDLEG

Mandates of FINMA for special investigations and legal representation of parties in FINMA investigations

Legal representation in various applications for regulatory licenses as a bank, securities firm, stock exchange, trading centre and asset manager

Support for financial intermediaries under the MLA (connection to SROs, MLA unit, training courses)

Various expert opinions, e.g. on subjects of the Banking Act, FIDLEG, FinfraG, GwG, MiFID or EMIR

Consulting of start-up companies in the field of FinTech (DLT, crypto currencies)

Main reference mandates 

Project management implementation of US tax programme at the Berner Kantonalbank

Head of Risk Management Division Securities Services SIX Group Ltd ad interim

Advice and legal representation of BX-Swiss at FINMA in the procedure for the authorisation to operate an exchange

Advice and legal representation of MBaer Merchant Bank AG at FINMA in the bank licensing procedure

Advice and legal representation of UG Europe AG at FINMA in the licensing procedure as a securities company

Regulatory advice on the stock exchange project of Elaborx

Support and accompaniment of Haute Capital Partners when going public at BX Swiss Ltd.

Advice of Fontaris AG in the approval procedure as asset manager

Advice and legal representation of CAT Financial Products AG at FINMA in the procedure as a securities company