Financial Services

Overview Investment Management

Froriep’s financial services regulation team provides incisive, practical and comprehensive legal advice to banks, securities firms, brokers, investment management firms, fund promoters, wealth managers, venture capital, private equity and hedge fund houses, FinTech and RegTech companies, payment services, and other financial institutions on every aspect of their business, including setting-up and licensing entities, structuring and marketing financial instruments and on-going regulatory advice.

  • We advise our clients on the regulatory regime applicable to their business as well as their obligations thereunder including the licensing with the FINMA of banks, securities firms, fund management companies, funds and asset managers, whether Swiss or foreign.
  • Our team assists  regulated clients on all on-going regulatory requirements, including anti-money laundering requirements, as their business grows and evolves, ensuring that the required filings are made in time when changes so require.
  • We support clients facing FINMA enforcement proceedings in the process of gathering evidence, advising on the potential outcome and discussions with the regulator.
  • Our areas of expertise include the structuring and marketing of financial instruments across all asset classes and the regulatory framework to be adhered to in the distribution chain.
  • Together with our DLT (Blockchain) & Fintech  team, we assist financial institutions as well as FinTech and RegTech companies on product development and regulatory matters. We bring in-depth knowledge of technology to the regulatory structuring, the drafting of legal documentation (placement documentation) and the obtaining of authorisations from the regulatory authorities.

Investment Management

Our team advises Swiss and foreign investment management firms, fund promoters, placement agents and other service providers and investors on all their investment management and marketing activities in Switzerland. We assist our clients with their organisational and licensing requirements, and the structuring of new products and services. We advise on all types of investment funds, including venture funds, credit funds, hedge funds, private equity funds and real estate funds, across closed-ended, open-ended and listed fund structures. We act for managers and promoters on a global basis with a particular emphasis on the US and the UK.