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Regulatory Solutions

Time and again, regulatory questions crop up in the real world that can only be answered with the corresponding level of specialist knowledge. As an independent specialist, PEQ offers comprehensive support when it comes to responding to regulatory questions, implementing the regulators' requirements, and training staff in regulatory compliance. Our core competencies include the following:

  • advice on regulatory licensing procedures in Switzerland, e.g. drawing up licensing applications for banks, securities dealers, and collective capital investment schemes
  • overseeing and advising clients in their applications to obtain a license as a Registered Investment Advisor (RIA) in the US
  • support in the practical implementation of regulatory and legal requirements/developments
  • analyzing and producing opinions on specific issues in supervisory areas for banks, securities dealers, collective capital investment schemes, and asset managers
  • support in the preparation of directives and agreements
  • compliance investigations in the CDB (banking due diligence) and MLA (anti-money laundering) area
  • evaluation, selection and delivery of relevant news items from FINMA, the SBA, and the SFAMA:
    PEQ Regulatory Information (available to all users) and PEQ Regulatory Tracker (clients and business partners only)
  • customized solutions in the regulatory sphere, e.g. MLA/CDB

 

We would be pleased to offer you a personal consultation in which we can get to know your needs and offer you the service you require:

 

Contact enquiry

PEQ Regulatory Information

In our bi-weekly or monthly newsletter, we gather the most relevant regulatory news by FINMA, SBA and SFAMA for you.

 

PEQ Regulatory Information

 

PEQ Banker's Information

 

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Regulatory Trainings

We offer customized regulatory trainings for compliance officers and staff.  Feel free to contact us to discuss your company's needs.

Regulatory News
Wednesday, 21. September 2016
Wichtigste Meldungen der FINMA, SBVg, SFAMA und FATF
Wednesday, 31. August 2016
Wichtigste Meldungen der FINMA, SBVg, SFAMA und FATF
Tuesday, 26. July 2016
Wichtigste Meldungen der FINMA, SBVg, SFAMA und FATF
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