FINANCIAL CONSULTANCY
In almost all areas of banking and capital market law, providers now require permission from the Federal Financial Supervisory Authority (BaFin) of by the FinMa in Switzerland
Such a BaFin license for banks and financial service providers is often linked to a variety of requirements, in particular to the personal and professional suitability of the managers. My main task in the first step is to check whether the business model you operate requires such permission. At best, such a license requirement can be avoided altogether with slight changes to the structure of the company or the product offered.
If a permit is mandatory, I will check the requirements of the license obligation, prepare the application for regulatory permits together with you and accompany you through the permit process and in the context of the ongoing supervision that follows. I can also help with the drafting of company contracts, general terms and conditions (GTC) and all other compliance guidelines and give you regular information on relevant changes in the legal framework and case law.
Upon request I can also take over the correspondence with the supervisory authorities and clarify detailed legal questions in all steps. Of course, also after the process has been completed I can help you with your follow up requirements or annual audits and I will of course also proactively inform my (former) clients about regulatory changes.
In the following pages I will present you in detail how I can help you with my expertise.
Financial Consultancy
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Book an appointment
Book directly an appointment with me. The initial “Get to know me and your problem” Session is completely free of charge.
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