Financial regulation

In all questions related to financial regulation, we are a reliable and knowledgeable partner that understands your business. Drawing on our long practical experience, we handle complicated questions of interpretation and regulatory processes efficiently. In international regulatory questions, our skilled PwC Legal Network is also at your disposal.

Our fund-related services:

  • Advice on licenses, notifications and regulatory interpretations related to alternative investment funds (AIFs)
  • Advice on licenses, waivers and approvals related to the establishment of management companies or undertakings for the collective investment in transferable securities (UCITS)
  • Establishing corporate structures related to equity funds and preparing documentation, from shareholder agreements to agreements between partners.

Our regulation-related services:

  • Advice on licenses and entry to markets
  • Interpretations and impact assessments
  • Notifications and Europass procedures
  • Client identification and prevention of money laundering and funding of terrorism
  • Issues related to packaged investment products
  • The above mentioned services in relation to the following, among others:
    • Regulation of investment service firms (MiFID II/MiFIR)
    • Regulation of insurance companies (IDD)
    • Regulation of credit institutions
    • Regulation related to marketing of consumer credit

Advice related to legislation on securities markets

  • Marketing of securities, including prospectus exemptions
  • Periodic and ongoing information
  • Assistance with announcing changes in ownership (flagging notices)
  • Dealings with regulators
  • Insider issues


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