Safely through the FINMA supervisory process

We represent your interests vis-à-vis FINMA - well thought out, prudent and with the right tone.

Your Benefits

Processes that hold

We guide you safely through the FINMA supervisory process

Strong in the storm

We support you in enforcement, especially when things get critical

Strategic instead of reactive

We guide you through supervisory communication with foresight

Avoid enforcement

Act early, clearly address risks

Dialogue at eye level

We translate your position into regulatory language

Advise in a crisis-proof manner

We provide support when it really matters

Regulation that protects

Our digital RegTech solution is convincing and helps to prevent. Efficient and effective.

Our services at a glance - Added value through expertise

Velaw supports regulated financial market participants in dialogue with the Swiss Financial Market Supervisory Authority FINMA. We support our clients in supervisory law clarifications, notification procedures and enforcement issues - clearly structured, legally sound and with the right feel for tone and timing.

Approval procedures and regulatory approvals

Support for licensing procedures (e.g. as asset manager, fund management company or bank) as well as advice on extensions or changes to existing licenses.

Enforcement proceedings and supervisory law clarifications

Support and representation in enforcement proceedings, including strategic communication with FINMA and support with fact-finding.

Communication with FINMA

Support with ongoing communication with FINMA, in particular with regard to supervisory law inquiries, reporting obligations or license adjustments.

Regulatory risk analysis and defense strategy

Development of defense strategies, legal assessments and risk evaluation in the run-up to or during proceedings.

Remediation of deficiencies and restructuring plans

Creation and implementation of action plans to remedy identified deficiencies in accordance with FINMA requirements.

Coordination with other authorities and international regulators

Advice on coordinated cooperation with foreign supervisory authorities in the context of international proceedings.

Velaw gives its clients a voice. Clear on the matter, confident in tone and attentive in dealing with sensitive issues.

How we move you forward - step by step

Initial analysis & definition of objectives

We record the specific occasion and the supervisory law context. From this, we derive a clear strategy and realistic goals for the procedure.

Document review & fact-finding

We analyze relevant documents, structure the facts and prepare the regulatorily relevant information in a comprehensible and stage-appropriate manner.

Legal positioning & argumentation

We develop a well-founded legal assessment and clear positioning vis-à-vis FINMA - with a sense of scope, risks and impact.

Communication & submissions to FINMA

We draft statements, submissions or requests for clarification and support the exchange with the supervisory authority in a linguistically, tactically and legally coordinated manner.

Coordination & escalation management

We coordinate internal processes, escalation levels and responsibilities at an early stage - for consistent and reliable communication with FINMA.

Support during the procedure & follow-up

We accompany you through all procedural steps, prepare meetings or hearings and support you with follow-up measures or implementation obligations.

We are here for you - competent, dedicated, reliable

Whether regulation, compliance, or digital transformation – we support financial service providers with practical advice, deep industry understanding, and clear orientation. Our experience is your advantage.

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Advice in the Supervisory Procedure