Expertise

Regulatory Compliance

Securing financial services and commerce, combating money laundering and corruption: implementing regulation pragmatically.

We support our clients, such as financial institutions, FinTech startups or trading companies, as an external partner in all regulatory and tax compliance matters.

We offer customized solutions for the following topics, among others:

Legal

  • FINMA authorisation for portfolio managers (AO membership), managers of collective investment schemes (CISA) and fund management companies, registration as client advisors
  • SRO application
  • Advice on implementing regulatory requirements (FINIG, FIDLEG, forms, internal regulations, directives, etc.)
  • Internal clarifications
  • MLA directives and transaction monitoring concepts
  • Setting up the internal AMLA compliance structure
  • Identification and analysis of AMLA risks in your company
  • Professional support on your questions in the daily handling of AMLA compliance
  • Advice in connection with extraordinary incidents
  • Conducting internal investigations
  • Representation vis-à-vis supervisory and prosecution authorities.
  • Ad Hoc Consulting for Trade Compliance, Export Control, Sanctions and Embargoes, Import and Export, Customs, Anti-Corruption, Bribery

Tax

  • Comprehensive advice on VAT, profit tax, withholding tax, and stamp duty for banks, broker/dealers, asset managers, and other companies
  • Corporate restructurings, mergers, spin-offs, divestments of business units and acquisitions including tax due diligence
  • Assistance with operational tax issues: VAT health checks, transfer pricing analyses, etc.
  • Negotiating and obtaining binding information from cantonal and federal tax authorities
  • Appeal proceedings and representation in complex tax revisions
  • Investments and set-up of collective investment schemes, private equity, infrastructure funds, venture capital, fund-of-funds investments including tax due diligence, tax structuring
  • Implementation of new core banking software, service offerings, processes
  • Supporting the management in the areas of tax governance (tax strategy), tax transparency, and tax risk management
  • Tax administration (tax returns, deadline control, documentation requirements)

Compliance

  • Function as External Compliance Officer (ECO)
  • Compliance Desk Support
  • Outsourcing of the compliance function for asset managers and fund management companies
  • Screenings of low/high-risk business relationships, PEP, sanctions, crime checks, negative news check, OSINT check, KYC reports
  • Compliance and enhanced due diligence reports
  • Blockchain investigations and analysis of transactions with cryptocurrencies
  • Risk categorisation in distributed ledger technology (DLT)
  • Support with AML files (including review of onboarding documentation)
  • Implementation of the Travel Rule for VASPs
  • AMLA training
  • Technical and personnel support for the compliance department
  • Internal controls and preparation of AMLA audit
  • Compliance review and risk assessment
  • Development and implementation of internal compliance programs (ICP) and internal control systems (ICS)
  • Ad Hoc consulting for export control, sanctions and embargoes, import and export, customs, anti-corruption, bribery and money laundering
  • Product classification EKN, ECCN, HS
  • Support in licensing procedures for import and export (export controls such as war material, dual-use, embargo, dangerous goods)
  • ESG consulting in the area of supply chain transparency (conflict minerals, slavery, child labor, human rights, etc.)
  • Data protection
  • Reporting of cyber attacks to FINMA

Listings

  • BILANZ Top Law Firms Switzerland: "Commercial Criminal Law"

    MME Legal | Tax | Compliance was awarded in Bilanz as one of the best law firms in the legal field "Commercial Criminal Law" 2021. 

  • BILANZ Top Law Firms Switzerland: "Compliance"

    MME Legal | Tax | Compliance was awarded in Bilanz as one of the best law firms in the legal field "Compliance" 2021. 

Your Team

We will be pleased to provide you with comprehensive and interdisciplinary advice in the areas of legal, tax and compliance.