Financial regulation
We are experts on financial regulation and help our clients in every type of matter within regulatory finance. With our extensive expertise we can offer strategic input in our advice to our clients, which considers not only the legal or regulatory aspects but also business related and other strategic factors.
The financial regulations has developed into a complex legislative materia during the recent years. Financial institutions need to navigate through a complex regulatory terrain and be able to make well informed decisions in their ongoing business.
A selection of legislation we are specialized in are lag (2004:46) om värdepappersfonder(UCITS), lag (2013:561) om förvaltare av alternativa investeringsfonder (AIFMD), EuVECA och EuSEF, lag (2007:528) om värdepappersmarknaden (MIFID II och MiFIR), MAR, IFD/IFR, Consumer Credit Act and all of the delegated or other acts that belong to these practice areas.
A selection of our services:
Ownership assessment and management suitability
Drafting of fund rules
Drafting of fund prospects, KIID etc
Regulatory assessments of certain areas in the business
Regulatory issues regarding PE-funds
Day-to-day compliance advice
Drafting of internal policies etc
Advice regarding GDPR
Permits, authorisation and registration with the Swedish Financial Supervisory Authority
Supervisory matters and sanctions under the Financial Supervisory Authority or Consumer Agency