FINANCIAL REGULATORY AND COMPLIANCE
A continuous flow of regulatory matters allows us to provide fast and up-to-date advice about most regulatory issues faced by fund managers, other financial institutions or investors, domestically as well as internationally. We frequently interact with authorities and international law firms regarding FATCA, AIFMD, MiFID, UCITS, EuVECA, AML/KYC and similar matters.
We provide advice to fund managers, securities businesses and other clients within the financial industry regarding regulatory matters in relation to the establishment, authorisation or licensing of their business. When establishing any type of financial business we can initially assist with analysis of what type of license or authorisation, if any, that may be required to reach the desired business rationale.
Our work includes advising international fund managers on issues related to marketing and reporting requirements. This includes applications for marketing authorizations under national private placement regimes and Article 42 of the AIFMD as well as advice on where to draw the line for pre-marketing activities, how to calculate assets under management and ongoing reporting obligations.
We also have extensive experience in the financial compliance area and frequently advice clients in the financial industry in relation to various compliance and policy issues. Our well experienced and knowledgeable team gives us the opportunity to advice our clients with a pragmatic and business oriented, yet compliant, approach. We also offer the service outsourced compliance function.