• Advisory for Financial Services

Regulatory and compliance

Financial service providers operate in a complex environment full of constantly changing regulations and regulatory systems. We assist them with our know-how and extensive experience of regulatory and compliance issues for financial service providers. We support banks, securities dealers, insurance companies, collective investment vehicles (including fund management companies and asset managers of collective investment schemes), finance companies, casinos and regulatory authorities (such as FINMA, FMA, SRO) on questions relating to the following areas of law:

  • Public and private banking law
  • Stock market legislation
  • Legislation on collective investment vehicles
  • Insurance law
  • Money laundering legislation
  • Criminal law pertaining to financial markets
  • Company law
  • Bank tax law (QI, EU taxation of interest income, FATCA, withholding tax agreement)


We provide a comprehensive portfolio of services that we tailor to your company's individual requirements. Among the areas in which we provide services are:

  • Compliance
  • Corporate governance
  • Insourcing of compliance functions
  • Legal and regulatory due diligence
  • Advising and representing financial institutions in regulatory proceedings
  • Contract management
  • Outsourcing
  • Forensic investigations (in collaboration with Forensic Services)


In addition to their knowledge of financial market law, our legal advisors have practical experience in the financial sector. Thanks to BDO's broad range of services, we are able to access the know-how of our specialists throughout Switzerland and the international BDO network when specific problems arise.