Regulatory & Compliance Financial Services

The constantly changing regulatory requirements, ongoing technical developments and tightened requirements for risk management and compliance pose major challenges for financial service providers and your company. We are there for you and support you in overcoming these challenges.

At Grant Thornton Switzerland / Liechtenstein, we offer the following services in the area of financial market law for banks, securities firms, insurance companies, collective investment schemes, fund management companies, asset managers, fintech institutions, other financial intermediaries and supervisory authorities:

• Outsourcing of the risk and compliance function or procurement of individual services
• Regulatory advice in the areas of AMLA, FinIA, FinSA, FinMIA, CISA, banking law, QI, FATCA, CRS, corporate governance, cross border, corporate law and data protection law in the financial market, DPA and ESG
• Legal opinions on regulatory issues
• Support in FINMA licensing procedures and FINMA licensing audits
• Regulatory Due Diligence and Regulatory Health Check, GAP analyses
• Compliance education and training
• Compliance Background Check / AML/KYC background checks on clients and prospects

One of our core competencies lies in particular in ICS, compliance and risk management services for financial service providers: we are available to you as a consultant or outsourcing partner and support you in implementing risk and compliance in your company.

Our team is made up of experienced legal, compliance and risk management professionals with in-depth knowledge of the financial industry. We work closely with the auditors in Audit Financial Services and strive to add maximum value to our clients through our services and help them to continue their business activities successfully and in compliance with applicable laws and regulations.