Services

Finnius is specialized in financial law. We assist financial institutions in every phase. We are happy to assist you with respect to the following subjects:

Advice 

  • advising on the scope of the Dutch Financial Supervision Act (including exceptions and exemptions);
  • counselling on regulatory aspects of market access, product development, and business operations.
  • assisting on the set-up of new financial products or financial services;
  • assisting with licensing, declarations of no-objection, and the filing of other notifications and registrations with the supervisory authorities;
  • advising on the financial regulatory law aspects of acquisitions and other financial sector transactions;
  • advising on governance;
  • advice on and drafting of internal documentation and client terms and conditions;
  • providing legal opinions.

Transactions

  • assistance with issuance of bonds, shares, (employee-)options and other financial instruments
  • reviewing or drafting prospectus and approval process with the AFM
  • assistance with crowdfunding and other alternative financing structures
  • derivative transactions
  • structuring of regulatory capital instrument (e.g. additional Tier 1 or Tier 2 notes)
  • setting up fund structures and fund documentation

Investigations and proceedings

  • assistance with (intended) administrative fines, penalty payments or other enforcement measures
  • assistance with investigations by supervisory authorities (AFM/DNB/ECB/FIOD)
  • objection- and appeal procedures against decisions of supervisory authorities
  • financial criminal law (e.g. Fiscal Intelligence and Investigation Service (FIOD) and National Public Prosecutor’s Office for Financial, Economic and
  • Environmental Offences (Functioneel Parket)
  • assistance with reliability and suitability assessments of directors, policymakers and 2nd echelon
  • disciplinary law (e.g. Special Interventions Service (DSI) and the disciplinary committee for banks)

Regulatory Strategy

  • advising on setting up your internal regulatory or compliance organisation and governance
  • flagging new regulations in the earliest stages
  • assistance with assessing the impact of new regulations on your business
  • public affairs, conveying your interests to the regulator
  • providing boardroom counselling
  • guiding your organisation through specific emergency situations
  • counselling on communication strategies with supervisory authorities
  • sharing our financial services network, executive search