As a Swiss or foreign financial service provider, you've heard of FinSA&FinIA, but you may not be familiar with them in detail and would therefore like to learn more about the regulations, new requirements and transitional periods.
We can help you close the gaps. In two workshops lasting two hours each, we’ll tell you all about FinSA&FinIA and their relevance for your company.
You are already supervised by FINMA and must adapt your internal regulations and contracts in line with FinSA&FinIA.
We will examine your current internal regulations and contracts and work with you to help you adapt your statutes, regulations, directives and standard agreements – based on our FINMA-tested templates.
You intend to make a public offer of securities or have them admitted on a trading platform.
We will advise you on the question whether you are obliged to publish a prospectus as well as on the preparation of the prospectus and the basic information document. In addition, we will help you coordinate with the relevant prospectus review body and support you as a recognised representative of the SIX Swiss Exchange in listing applications.
If you are involved in the placement of securities, we will advise you on licensing or registration requirements.
Education: University of Zurich (lic. iur., 1986; Dr. iur., 1993); Admission to the Bar in Switzerland (1988); University of London (LL.M. European Law, 1993).
Professional Experience: Associate and Partner with various business law firms in Zürich (1989-2005); Partner with BLUM Attorneys at Law (2005-2008); Arbitrator with SAAM (Swiss Association of Asset Managers).
Competencies: Mergers & Acquisitions / Corporate FinanceFinancial Services & Regulatory Litigation / ArbitrationCorporate and Commercial Law
Education: University of Zurich and University of Latvia, Riga (lic. iur., 2006); The George Washington University Law School (visiting scholar, 2008); Admission to the Bar in Switzerland (2012).
Professional Experience: Research and teaching assistant at the University of Zurich (Chair for private, commercial and corporate law, Prof. Dr. Hans Caspar von der Crone, 2007-2009); Trainee with a law firm in Zurich (2009); Trainee with the District Court of Horgen (2009-2010); Legal assistant with the Swiss Financial Markets Supervisory Authority FINMA (2010-2011).
Education: ZHAW (BSc in Business Law, 2010); University of Lucerne (MLaw, 2012); Admission to the Bar in Switzerland (2014); Certified Tax Expert (2018).
Professional Experience: Associate with a trust office in Olten (2005-2007); Intern with an audit firm in Zurich (2009); Intern with a business law firm in Zurich (2012-2013); Law clerk with the district court in Willisau (2014); Associate with a law firm in Zurich (2015-2017).
Education: University of Zurich (lic. iur., 2006); Admission to the Bar in Switzerland (2010); Chartered Institute of Arbitrators, London (Certificate in International Arbitration / MCIArb, 2016); University of California, Los Angeles (LL.M., 2016); Certificate in Advanced Studies UZH in Financial Market Law (2020)
Professional Experience: Law clerk with the District Court of Meilen (2006-2009); Associate with a business law firm in Zurich (2010-2011); Law clerk with the Commercial Court of Zurich (2011-2013); Part-time substitute judge with the District Courts of Dietikon (since 2012) and Uster (since 2013)