Practice Area
Capital Markets & Financial Regulation
In a rapidly changing financial regulatory environment, we structure your activities in compliance with the legislation and effectively manage your processes before regulatory authorities.
Overview
We provide comprehensive regulatory advisory to capital market institutions, asset management companies, investment funds, publicly held companies, financial institutions, crypto-asset service providers and fintech companies.
We provide in-depth support in the areas of capital markets legislation, collective investment undertakings, public disclosure obligations, public offerings, fund establishment and issuance transactions, and crypto-asset regulations.
Key Risks
- Incomplete applications in licensing and operating permit processes
- Breach of public disclosure obligations
- Non-compliance with legislation in fund issuance and amendment processes
- Non-compliance with crypto-asset regulations
- Risks of administrative fines and regulatory sanctions
Scope of Services
- Regulatory compliance advisory under SPK legislation
- Establishment and operating permit processes for asset management companies
- Establishment, issuance and amendment processes relating to venture capital, real estate and hedge funds
- Public offerings, bond issuances and the issuance of capital market instruments
- Public disclosure and material event disclosure obligations
- Corporate governance practices in publicly held companies
- Licensing, operation and compliance processes for crypto-asset service providers
- Establishing internal control, risk management, audit and compliance frameworks
- Regulatory authority applications, requests for opinions and review processes
Related Sectors
Related Practice Areas
Frequently Asked Questions
Is a license mandatory for crypto-asset service providers?+
We plan and carry out together the permits and compliance processes required to operate under the regulations in force.
What stages does the public offering process consist of?+
It covers the preparation, prospectus, SPK application and approval, sale and stock exchange listing stages; we provide legal support at every stage.
How long does establishing an asset management company take?+
It depends on the completeness of the application file; we accelerate the process by keeping the preliminary preparation strong.
We are by your side throughout your Capital Markets & Financial Regulation process
Let us develop solutions tailored to your organization with a preventive and practical approach.
Get in Touch