Credentials

• Advisory of more than 10 local and international banks as well as support of more than 15 EAMs in governance and legal & compliance topics
• Assisting asset managers and trustees in applying for the FINMA license
• Compliance function for regulated asset managers (incl. CISA) and assumption of operational compliance activity (insourcing)
• Performance of FIDLEG health checks for asset managers and an international Swiss bank
• Advising financial service providers in the crypto area regarding regulatory questions, AMLA, sanctions, code of conduct and products
• Performing compliance due diligence in the context of M&A transactions
• Investigation of money laundering suspicions as well as conception and management of clean-up projects in the area of AMLA, CDB and KYC
• Re-design and revision of the policy framework of several banks
• Governance reviews for companies within and outside the financial industry
• Creating a cross-border strategy and regulations for internationally active financial institutions
• AML monitoring and sanction screening projects for banks and crypto companies
• Development and implementation of compliance risk assessments and control frameworks (ICS) for banks and fintechs
• Classroom trainings for banks and asset managers especially on AMLA/CDB and FINSA/FINIA topics

We are happy to provide you with references from selected clients upon request.