Financial Market Enforcement

In the context of FINMA investigations, companies primarily require a robust assessment of regulatory risk as well as clarity regarding the procedure, timeline and potential outcomes of the investigation. We advise companies on responding to FINMA information requests and represent them in enforcement proceedings and related appeals.

A key differentiating factor of our advisory services is the extensive FINMA experience of our partner Florian Schönknecht, who held senior positions at FINMA in the area of financial market enforcement for twelve years. Florian’s expertise enables a precise assessment of FINMA’s expectations, decision-making processes and enforcement priorities, in particular in the following areas:

• Anti-money laundering (AML)
• Corporate governance
• Risk management
• Suitability
• Fit and proper requirements
• Market conduct

On this basis, we support companies in developing a consistent and well-founded strategy and assist them from the initial information requests through to the conclusion of enforcement or appellate proceedings. In addition, we conduct internal investigations for companies in close coordination with the relevant internal functions and take responsibility for coordinated crisis management.