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Financial Market and Regulatory

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The regulatory provisions for participants in the financial market are diverse and complex. Especially for startups operating in the FinTech sector, it is of great importance to understand the regulatory situation correctly before commencing activities. LezziLegal supports you in all matters of financial market regulation: whether it is clarifications regarding licensing requirements, drafting a license application, or procedures before FINMA or courts.

Our Expertise

Analysis of Business Models

Legal analysis of business models regarding potential licensing requirements and obligations to join a Self-Regulatory Organization (SRO). Analysis of tokens or NFTs and decentralized trading systems. Obtaining no-action letters from FINMA. Support for Initial Coin Offerings (ICOs). 

Support in obtaining approvals, especially for:

  • Asset managers
  • Trustees
  • Securities firms
  • Fund management companies
  • Financial market infrastructures
  • Collective investment schemes
  • FinTech licenses

 Compliance advisory

Advisory on designing internal compliance processes, especially in the area of FIDLEG and for insurance intermediaries. Conducting internal investigations (compliance audits). Enforcement and legal proceedings Support and representation in FINMA enforcement proceedings or legal proceedings.

Anti-Money Laundering Act

Advice on AML compliance. Submission of SRO admission requests.

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