Banking and Securities Dealers  

Banks and securities dealers call upon our team's know-how for questions related to banking and stock exchange law - in connection with license approvals, legal and regulatory clarifications and transactions management.

We assist national and international clients in obtaining approvals and in developing a purposeful internal organization system in compliance with the regulations. We can also help you achieve results in all supervisory matters.

Our services in the area of banking and stock exchange law:

Approval processes:

  • Founding of financial institutions
  • Drawing up of fundamental documents such as rules and regulations, policies, etc.
  • Drawing up of approval applications
  • Negotiations with the supervisory authorities

Supervisory issues:

  • Due diligence assessments
  • Gap analyses
  • Benchmarking
  • Employee training
  • Special supervisory audits
  • Assessments regarding adherence to market conduct regulations for securities dealers (Art. 11 BEHG)
  • Issues Relating To MiFID
  • Drawing up of policies and contracts
  • Development of organizational structures in accordance with supervi-sory regulations
  • Credit checks (in special cases)
  • Supervisory Assistance In The M&A Process
  • Supervisory post-merger integration
  • Information with legal and regulatory updates
  • Questions related to data protection law


We maintain good relations with the Swiss Financial Market Supervisory Authority (FINMA) and with specialist commissions. Our internal networking with other service areas of KPMG, such as Audit and financial and Tax Advisory, Our foreign colleagues assist us in all matters where a foreign connection must be taken into account - for example, in the areas of consolidated supervision, banking confidentiality, Data Protection and Outsourcing.

Would you like to find out more? Our Contact Persons will be happy to take your call.


Pascal Sprenger

Pascal Sprenger

Director, Attorney-at-Law

+41 58 249 42 23

Lars Schlichting

Lars Schlichting

Partner, Attorney-at-Law, LL.M.

+41 58 249 32 59