Law and Digital Law Leader Financial Services – Switzerland

EY, Ernst & Young Lt

Professional experience

• Extensive experience in setting up various types of financial institutions or supporting them in obtaining authorizations/exceptions and  accompanying them during application procedures with FINMA in Switzerland (as advisor or auditor), including advising on the business plan, operating model, corporate governance, minimal substance requirements, compliance, risk and internal policy/directive framework.

• Extensive experience in several cross-border banking projects for Swiss and global banks, asset managers and other FS companies: drafting and updating policies and country manuals, advising on and implementing respective frameworks and strategies, performing gap analyses, analyzing and evaluating legal opinions regarding cross-border regulatory aspects, providing trainings and certifications and digitizing cross-border solutions.

• Extensive experience in advising various Swiss and foreign financial institutions (incl. FinTech) regarding new technologies and innovative solutions from a regulatory perspective (e.g. EY Regulatory Radar, Legal Operations Platforms, Legal Managed Services, DLT, CBDC, RegTech, Rule Engines, digital mortgage platform, Legal and Contract Management systems, Regulatory Mapping).

• Extensive experience in advising various Swiss and foreign companies regarding digitization, digital assets, DLT/blockchain, cryptocurrencies (ICO/TGE/STO) and token structuring, including representation in regulatory proceedings before regulators/authorities.

• In-depth knowledge of Swiss banking regulatory matters; advising foreign Swiss and global banks, asset managers and other FS companies regarding applicable regulation (identify & map to their business), digitization, outsourcing, data protection and corporate governance matters

• Deep understanding of the legal and regulatory environment in several countries for financial services and digital assets; specific experience in the implementation of EU-Directives and drafting internal guidelines

• Extensive experience as project manager for corporate and M&A services for several buy/sell-side transactions by national and international financial institutions

• Broad legal experience in supporting external audits of banks, securities dealers and market infrastructures as well as asset managers regarding cross-border, compliance and risk frameworks, applicable internal directives, legal, reputational and litigation risks, know your customer and anti-money laundering rules

• Fraud investigations, analysis and benchmarking of core processes and review of internal control systems

Session

Decentralized Autonomous Organizations (DAOs). The New Big Deal?

TO ALL SPEAKERS