Services

Our services cover the full range of regulatory issues and challenges faced by financial institutions in every phase of their business. These services include advice and assistance in the following areas:

Financial sector supervision 

  • the scope of the Dutch Financial Supervision Act (including exceptions and exemptions)
  • the regulatory aspects of market access, product development and business operations
  • new financial products and services
  • licences, declarations of no-objection and other regulatory authorisations
  • the financial regulatory law aspects of acquisitions and other financial sector transactions
  • governance
  • renumeration and renumeration policies
  • internal and client-related documentation
  • providing legal opinions

Transactions

  • the issuance of bonds, shares, options and other financial instruments
  • crowdfunding and other alternative financing mechanisms
  • derivative transactions
  • the issuance and structuring of regulatory capital instruments (e.g. Additional Tier 1 and Tier 2 Notes)
  • the formation and structuring of investment funds

Proceedings and investigations and

  • actual or threatened enforcement actions (e.g. administrative fines, penalty payments)
  • investigations by AFM/DNB/ECB/FIOD
  • objections and appeals against regulators’ decisions
  • financial crime defence
  • reliability and suitability assessments of board members and second echelon executives
  • disciplinary investigations and proceedings (e.g. Dutch Securities Institute (DSI) and the  Dutch Disciplinary Committee for Banks)

Regulatory Strategy

  • internal compliance programmes and governance structures
  • flagging and assessment of new regulatory developments at an early stage
  • strategies for communicating with regulators
  • boardroom counselling
  • crisis management
  • regulatory audits

Other services

  • deployment of our financial services network (e.g. for executive searches)
  • in-house training for directors, supervisory board members and compliance officers on relevant regulatory topics (Finnius Academy)