Tuesday, 17 November 2026, Lakeside, Zurich
https://www.eiz.uzh.ch/product/13-tagung-zur-compliance-im-finanzdienstleistungsbereich
13th Conference on Compliance in the Financial Services Sector (13. Tagung zur Compliance im Finanzdienstleistungsbereich)
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By
CapLaw
CapLaw Themes
- FinSA (FIDLEG) (33)
- FinIA (FINIG) (11)
- Insurance (8)
- Securities (103)
- Regulatory (142)
- Takeover (19)
- Derivatives (7)
- News, Deals & Cases (531)
- Events (159)
- Other Areas (8)
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.
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FinSA Conduct Obligations: FINMA‘sRecent Enforcement Activity
By/Patrick Schärli
Laura Wälchli
FINMA has intensified its enforcement of the conduct obligations governing individual financial services under the Financial Services Act (FinSA). The publicly communicated conclusions of two recent enforcement proceedings are good examples of interventions by the regulator under the FinSA conduct regime. Accompanied by FINMA Guidance 03/2026, which highlights recurring risk patterns, these cases signal that the conduct obligations are now firmly on FINMA‘s enforcement radar.
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KAPITALMARKTRECHT IM FOKUS 2026 – CONFERENCE REPORT | 19 August 2026, SIX ConventionPoint, Zurich
By/Sandro Fehlmann
/Benjamin Leisinger
Nina Reiser
On 19 August 2026, practitioners, academics and market participants convened at SIX ConventionPoint in Zurich for Kapitalmarktrecht im Fokus 2026. Under the Title “Clarity or Room for Interpretation? Challenges in Interpreting Bond Terms and Conditions“ (Klarheit oder Auslegungsspielraum? Herausforderungen bei der Interpretation von Anleihensbedingungen), the conference examined how standardized bond terms should be interpreted, the interaction between contractual provisions and regulatory requirements and the significance of prospectuses, risk factors and changing market practice. Particular attention was paid to regulatory capital instruments and the Point of Non-Viability (PONV), against the background of the write-down of Credit Suisse AT1 instruments and the…
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EHRA CLARIFIES REGISTRATION PRACTICE FOR CONDITIONAL CAPITAL WITHIN AND OUTSIDE THE CAPITAL BAND
BySamuel Hochstrasser
In a practice note dated 27 August 2026, the Federal Commercial Register Office (EHRA) clarified the registration practice applicable where a company‘s articles of association provide for conditional capital both within a capital band and outside the capital band. This article sets out the resulting registration practice.
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Swiss advisers subject to the Swiss Anti-Money Laundering Act: Scope and Duties
By/Alexander Wherlock
Benjamin Leisinger
Effective 1 October 2026, the revised Swiss Anti-Money Laundering Act will extend Switzerland‘s anti-money laundering framework to advisers participating professionally in covered transactions. Lawyers, notaries, fiduciaries, accountants, tax advisers, M&A advisers and other professionals may become subject to due-diligence, organizational and certain reporting requirements under the AML framework even if they do not execute financial transactions themselves. This article summarizes the new regime, its principal exemptions and its consequences for professional advisers.
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The Impact of Article 21c CRD VI on Swiss Banks‘ Loan Portfolios
ByJürg Frick
Effective as of 11 January 2027, CRD VI introduces an EU-wide restriction on third-country institutions‘ cross-border lending activities. Under the new article 21c CRD VI, Swiss banks may no longer extend loans, provide guarantees, or make credit commitments to EU-domiciled borrowers without an authorized subsidiary or branch in the relevant member state. The prohibition covers all corporate finance activities with an EU nexus, including syndicated credit facilities.
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DocMorris Finance B.V.‘s Issuance of CHF 96.8 Million Senior Guaranteed Convertible Bonds Due 2031 and Concurrent Repurchase of Outstanding Convertible Bonds Due 2028
ByCapLaw
On 11 September 2026, DocMorris Finance B.V., a directly wholly-owned subsidiary of DocMorris AG (SIX: DOCM), successfully completed the private placement of CHF 96.8 million 1.5 per cent. senior unsecured convertible bonds due 16 March 2031, unconditionally and irrevocably guaranteed by DocMorris AG and convertible into existing and/or newly issued registered shares of DocMorris AG. Concurrently with the new issuance, DocMorris AG completed the full repurchase of its outstanding 3.0 per cent. convertible bonds due August 2028 with a nominal amount of CHF 49.6 million through privately negotiated bilateral transactions. The repurchased bonds will be cancelled. The transaction reduced the…