Investment Advisors & Client Advisors | Pestalozzi Attorneys at Law

Investment Advisors & Client Advisors

Our Financial Services team advises and represents investment advisory firms and client advisors in relation to transactional and regulatory matters.

Our partners and associates have profound experience in advising Swiss and non-Swiss investment advisors and client advisors operating in, into or from Switzerland (on a cross-border basis).

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Our expertise includes:

  • Structuring of advisory business models to comply, if applicable, with the conduct rules (such as client segmentation rules, information and disclosure obligations) and registration and affiliation requirements under the Swiss Financial Services Act and the Swiss Anti-Money Laundering Act
  • Drafting, negotiating and commenting on advisory agreements between the advisors and their clients (i.e. professional client and retail clients), distribution agreements, any bank agreements and any documentation of services providers or issuers of financial instruments (such as shares, bonds, funds and structured products), as well as issuing legal or regulatory opinions
  • Provision of regulatory advice, if required, in relation to the applicable anti-money laundering regulations, as well as affiliation, organisational and risk management requirements, including drafting and commenting on compliance concepts and internal regulations or guidelines relating to the anti-money regulations or any relevant financial market laws and ESG (or sustainability) frameworks

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