Regulatory

Regulation in the financial sector is both extensive and constantly evolving at the EU and national levels. Staying informed about regulatory requirements is essential to adapting your business, products, and services while ensuring full compliance with the law.

Our global team—one of the largest and most experienced in the world—is here to support you, no matter your industry or location. We specialize in regulatory matters, ongoing compliance, and permit applications, helping you navigate the complexities of financial sector regulations with confidence.
 

Our services

Advisory services
We offer comprehensive and practical advice on all aspects of financial services and products. Our expertise covers licensing and notification requirements, conduct obligations, ongoing compliance, cross-border activities, internal policies and guidelines, sustainability, and market abuse regulations. We support both domestic and international clients in navigating the complexities of financial sector regulations. Additionally, we provide guidance to financial institutions and other market participants on anti-money laundering (AML) and counter-terrorist financing (CTF) standards and best practices.

Supervisory Interactions and Filings
With extensive experience engaging with the Swedish Financial Supervisory Authority, we assist clients with license applications, ownership and management assessments, and regulatory reviews. Our expertise also extends to supervisory investigations, enforcement actions, and sanction procedures, ensuring that our clients are well-prepared to navigate regulatory challenges.

Compliance
We help financial companies with ongoing compliance and act as an independent compliance advisor. The assignment is based on the rules on outsourcing and the scope is determined by the regulations to which the institution is subject, including the establishment of internal procedures and guidelines, training, monitoring and control of operations, and reporting to management and the board of directors.

Knowledge leads to success
We regularly hold training courses for our clients in a variety of areas. To ensure that the knowledge we share is relevant to you, we tailor the courses to your needs and level. We provide training for people with a SwedSec license and we help develop training courses for training companies.

Our clients

Our clients operate in both the Swedish and international market and include smaller companies and some of the world's largest players in the financial sector. We often work with startup companies and entrepreneurs in fintech. Clients include companies like auction houses, gaming companies and accounting and auditing companies, which are also subject to regulatory requirements.

• Investment firms
• AIF managers
• Fund management companies
• Credit institutions
• Payment services companies
• Insurance distributors
• Insurance companies
• Other financial institutions