Financial Markets Licences and Registrations

To date, the partners of Devon Legal have supported well over 50 financial institutions in licensing proceedings.

• Setting up corporate governance, risk management and compliance structures that stand up to regulatory scrutiny, including implementation concepts

• Drafting internal regulations and directives

• Preparation of contractual documentation, risk profiles, investment strategies, etc.

• Support in obtaining FINMA licences for Swiss financial institutions (portfolio managers, trustees, managers of collective assets, fund management companies, securities firms), for Swiss branches and representative offices of foreign financial institutions, for banks and fintech companies, and for financial market infrastructures (FinMIA)

• Registration of client advisers (FinSA)

• SRO affiliation of financial intermediaries (AMLA)

• Applications to the Occupational Pension Supervisory Commission (OAK BV) for the establishment of investment foundations (BVG)

• Authorisation of Swiss collective investment schemes, in particular limited partnerships for collective investment and Limited Qualified Investor Funds

• Authorisation of foreign collective investment schemes for offering to non-qualified investors in Switzerland

• Support in maintaining licensing requirements and complying with reporting obligations