7th Conference on Compliance in the Financial Services Sector (7. Tagung zu Compliance im Finanzdienstleistungsbereich) 

•

By

CapLaw

Share on:

Thursday, 26 November 2020, Lake Side, Zurich

https://www.eiz.uzh.ch/EIZ/web/eiz/event.aspx?WPParams=43A9B2A7C6D4E0E8AAB08D92A795A5

Back to the homepage
CapLaw Themes
CapLaw PDF Archive

Discover more articles

We provide up-to-date information on legal and regulatory developments regarding the capital markets, publish concise articles on developments in the Swiss and international financial markets, and announce recent deals and forthcoming events.

  • Green Shoots in Winter: The Revival of the Swiss IPO Market?

    By

    Deirdre Ní Annracháin

    After several years of subdued activity, the IPO market in Switzerland underwent something of a resurgence in 2024. This revival was underpinned by key transactions, a shift in investor sentiment, and broader trends in European capital markets, all of which have contributed to renewed confidence in the viability of Swiss public listings. Looking toward 2025…

    Read more: Green Shoots in Winter: The Revival of the Swiss IPO Market?

  • Lift of Swiss Protective Measures Against EU Trading Venues

    By

    Urs Kägi

    /

    Florian Schweighofer

    On 29 January 2025, the Swiss Federal Council (the Federal Council) decided to lift protective measures introduced when the European Union (EU) refused to recognize Swiss stock exchanges as equivalent, as of 1 May 2025. This article provides an overview of the situation so far, the decision of the Federal Council and its impact on…

    Read more: Lift of Swiss Protective Measures Against EU Trading Venues

  • The Boom of Exchange Traded Products (ETPs)

    By

    Luca Bianchi

    /

    Michael Kremer

    /

    Donja Gehrig

    ETFs and ETPs have grown to over USD 7 trillion in assets under management (AuM) of which ETPs contributed USD 1 trillion. To reflect on selected key legal aspects which are relevant in the course of this boom the article at hand examines the regulatory framework for ETPs in Switzerland with a focus on structuring…

    Read more: The Boom of Exchange Traded Products (ETPs)

  • M&A Transactions in the Swiss Financial Market – Part II: Asset Deals involving Swiss Regulated Entities

    By

    Alexander Wherlock

    The Swiss financial market laws provide for a number of regulatory notification and approval requirements which must be adhered to in the context of asset deals involving entities prudentially supervised by FINMA. This article provides an overview of the relevant regulatory requirements which may be applicable in the context of acquiring a portfolio of assets,…

    Read more: M&A Transactions in the Swiss Financial Market – Part II: Asset Deals involving Swiss Regulated Entities

  • The Swiss Bankers Association‘s Portfolio Management Guidelines and Digital Assets

    By

    Valérie Menoud

    /

    Ariel Ben Hattar

    Digital assets, including cryptocurrencies and tokenized „traditional“ financial assets, are playing an increasingly significant role in financial markets. While the Swiss Bankers Association’s Portfolio Management Guidelines (Guidelines) remain a key reference standard for discretionary asset management, they were developed without consideration for these emerging investment options, raising questions about their compatibility with the framework. This…

    Read more: The Swiss Bankers Association‘s Portfolio Management Guidelines and Digital Assets

  • Issuance of CHF 1.425 billion bonds by Thermo Fisher 

    By

    CapLaw

    On 26 February 2025, Thermo Fisher Scientific Inc. successfully placed CHF bonds in the amount of CHF 1.425 billion. The issuance consisted of five tranches. The bonds are governed by Swiss law and application will be made for admission to trading and listing of the bonds on the SIX Swiss Exchange. UBS AG acting through…

    Read more: Issuance of CHF 1.425 billion bonds by Thermo Fisher