Lezzi Legal advises financial institutions, fintech companies, and other regulated or regulatory-exposed companies on complex compliance and regulatory issues. We clarify regulatory requirements, translate them into practical processes, and support companies in their interactions with regulatory authorities. In doing so, we distinguish between mandatory requirements, acceptable risks, and best practices.
Regulatory Classification of the Business Model
New products, services, and partnerships cannot always be clearly classified under existing regulations. We examine which financial market laws and other regulatory requirements apply and identify where licensing, registration, organizational, or conduct requirements may exist.
Implementation of New Regulatory Requirements
Laws, regulations, and supervisory practices are constantly evolving. Companies must assess which changes are relevant to them and how to adapt existing processes, documentation, and controls. We help translate regulatory requirements into concrete and practical measures.
Responsibilities and Accountability
Compliance must not only be maintained but also documented in a transparent manner. Unclear responsibilities, a lack of controls, or incomplete documentation can lead to problems during audits or when dealing with regulatory authorities. We assist in defining responsibilities and creating robust evidence.
Outsourcing and Third Parties
When functions are outsourced, regulatory obligations often remain with the supervised entity. Contracts, control rights, information flows, and exit scenarios must therefore be aligned with the governance structure and risk profile. We review outsourcing models from a legal perspective and provide support during their implementation.
We regularly provide advice on Swiss financial market and compliance issues and are familiar with the regulatory requirements applicable to financial institutions, financial service providers, fintech companies, and other companies subject to regulation.
Regulatory requirements must align with the company’s actual operations and organizational structure. We analyze business models, products, and processes, and identify the resulting legal requirements and how they can be implemented in practice.
Not every regulatory issue has the same implications. We distinguish between mandatory legal requirements, acceptable legal risks, and best practices. This provides companies with a solid foundation for their decisions and enables them to allocate resources effectively.
Our consulting services go beyond legal analysis. We also assist with adapting processes, controls, contracts, internal policies, and other documentation, and help integrate regulatory requirements into day-to-day operations.
Regulatory issues often involve executive management, the board of directors, compliance, and other control functions simultaneously. We present legal issues in a way that makes responsibilities, risks, and decision-making options clear to the relevant parties.
You will work directly with the relevant attorneys and receive specific assessments and recommendations for action, even for regulatory issues that arise on short notice. If necessary, we will guide you through a matter from the initial analysis through implementation to contact with regulatory authorities.
