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Financial Market Law Authorizations

Legal clarity in financial market law – we bring you safely to the license.

Whether FINIG, FIDLEG, or AO connection: With VELAW, you are on the safe side.

Your questions – our conversation
Hand mit Stempel genehmigt ein Dokument – Symbol für Finanzmarktrecht und regulatorische Bewilligungen

Your benefits at a glance

Safely to FINMA approval
Structured and efficient support throughout the entire approval process
Clarity in the regulatory jungle
Clear answers and legally sound solutions, even for complex questions
Reach your goal faster
Efficient processes, proactive communication, and direct contacts
Up-to-date forward-looking
Continuous monitoring of regulatory developments – so you are always one step ahead
Tailored and practical
Customized advice that understands your reality, is targeted, and without unnecessary ballast
Tried and tested reliable
Many years of experience in supporting approval procedures, with a focus on what is essential and feasible
Understandable solution-oriented
No legal jargon – but clear answers, concrete options, and well-founded recommendations.
Strong in implementation
We don't just support you on paper – we also actively assist in the realization of your regulatory requirements.

Our services at a glance – added value through expertise

Velaw advises banks, fund management companies, managers of collective assets, asset managers, and investment advisors in the complex regulatory environment. Our “end-to-end” service, tailored to individual needs, covers all regulatory issues in the area of financial services and products.

FINMA approvals for asset managers and managers of collective investment schemes

Preparation and submission of complete application documents, including documentation, business model, and risk management.

Connection to a supervisory organization (AO)

Support with selection, preliminary review, and application submission – including implementation of the AO requirements.

Approval requirement for new activities

Clarification of licensing requirements for new business models, structural changes, or expansions.

FIDLEG-compliant customer processes

Design and review of appropriateness, suitability, information obligations, and customer documentation.

Organizational structure according to FINIG

Establishment of governance, risk management, and internal control in accordance with legal requirements.

Structuring complex business models

Regulatory assessment and legally sound design of cross-border or innovative models.

Introduction of internal control systems (ICS)

Establishment of an effective ICS, including control plan, responsibilities, and documentation of evidence.

Implementation of new regulatory requirements

Integration of current requirements (e.g., AML, DSG, ESG) into organization and processes.

Velaw helps clients meet regulatory requirements safely and efficiently in order to operate successfully in a dynamic market environment.

Step by step to FINMA approval

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Project planning kick-off
At the beginning, we create the basis for a smooth approval process. Together, we define the goals, set responsibilities, coordinate the schedule, and review the basic framework conditions such as the business model and approval requirements.
Legal operational analysis
We analyze your organization in detail and compare it with the regulatory requirements. We assess points such as the company structure, capitalization, the internal control system (ICS), and risk management. From this, we derive concrete recommendations to ensure your licensability.
Structuring documentation
All required documents for the FINMA application are structured and prepared by us and tailored to regulatory requirements – including organizational regulations, business plans, contracts, and control mechanisms. This ensures that your submission is auditable and complete.
Connection to a supervisory organization (AO)
We accompany the formal accession to a recognized AO – from the selection to the legal coordination of the AO-specific requirements. We also take over the preliminary review of the documents and the communication with the AO.
Submission of the application for approval to FINMA
As soon as all documents are ready, we coordinate the submission of your application for approval. We handle the communication with FINMA, submit documents on time, and take care of queries or additions.
Approval by FINMA
After successful completion of the approval process, we support you in the transfer to operative operation under the supervision of the AO – including the implementation of any conditions or instructions.
Digital Compliance with vela
With our digital platform VELA, you can implement regulatory obligations efficiently, audit-proof, and comprehensibly – including ICS, money laundering compliance, and risk management. This relieves your management of operational tasks and strengthens them from a regulatory perspective.
Training stakeholder communication
To ensure that everyone involved knows their role, we offer targeted training for management, boards of directors, and employees. In addition, we support you in communicating with customers, partners, and authorities – clearly, building trust, and on an equal footing.

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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20+ years of experience

Specialized in financial market law

Tech-driven

Targeted & effective

Holistic & practice-oriented

Reliable in an emergency

Ganz unverbindlich

Wir sind für Sie da

+41 44 281 20 00
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Without any obligation

We are here for you

+41 44 281 20 00
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