Investment firms
Investment Firms face a wide range of strategic, operational, and regulatory challenges whether in their local markets or internationally. Our clients trust us to help guide them through those multijurisdictional regulatory issues and ensure their arrangements, systems and controls stay compliant.
Whether you seek to be authorised, comply with a new regulatory initiative, review what you have in place, obtain a full regulatory opinion on more complex matters, or implement a tailored training program we can help.
We already support a broad range of firms across among others the following regulatory frameworks locally or on cross border basis:
- Investment Firms’ including market infrastructures frameworks
- ESG
- Market Abuse
- Securitisation
- Benchmarks
- Derivatives Central Clearing
- Product Distribution frameworks
- Initial securities offering (Prospectus, Transparency, …)
SUBJECTS*
- Financial Services and Markets Act as amended
- Markets in Financial Instruments and Financial Promotions Regulations
- UK Market Abuse Regulation
- FCA Handbook
- MiFID II/ MiFIR
- ESG (Taxonomy Regulation, SFDR, CSDR, CSDD, …)
- Prospectus Regulation
- EMIR
- MAR
- Benchmark Regulation
- Securitisation Regulation
- IFD/IFR
- IDD/IMD
- Code Monetaire & Financier
- Loi Pacte
- AMF Règlement Général & Doctrine
- ACPR publications & policy positions
- Loi 30 mai 2018 relative aux marches d’instruments financiers
- Luxembourg legal instruments transposing the above listed directives
- CSSF circulars and publications related to the above listed regulatory instruments
Any other EU country on demand …
- Financial Markets Infrastructure Act (FinMIA)
- Financial Markets Infrastructure Ordinance (FinMIO)
- FINMA Financial Markets Infrastructure Ordinance (FinMIO – FINMA)
- Financial Services Act (FinSA)
- Financial Services Ordinance (FinSO)
- Financial Institutions Act (FinIA)
- Financial Institutions Ordinance (FinIO)
- FINMA Financial Institutions Ordinance (FinIO-FINMA)
- FINMA circulars, position statements and relevant guidance
* Among others
