Regulatory

Regulation in the financial sector is extensive and detailed. And it’s constantly evolving at both EU and national level.

It’s important to make sure you understand the regulatory implications so your business complies with laws. Our global team is one of the largest and most experienced in the world. We will help you regardless of your industry or where you operate. We mainly focus on regulatory issues, ongoing compliance and permit applications.

Our services

Advisory services
We provide compliance advice on financial markets law. We advise on whether activities are subject to authorization, ongoing compliance, cross-border activities, establishment of internal guidelines, sustainability, market abuse and other issues related to financial sector regulation. We also advise financial institutions and other companies subject to regulation on anti-money laundering and terrorist financing measures. For international clients, we advise on issues like establishment and compliance in the Swedish market.

Matters with the Swedish Financial Supervisory Authority
We have a close relationship with the Swedish Financial Supervisory Authority and advise financial institutions on license applications, ownership and management reviews and other matters such as supervisory and sanction procedures.

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