Banking Law and Financial Regulation

Banking Law and Financial Regulation

Regulations on financial activities

• Regulatory assistance (application for accreditation / preparation of application for registration) provided to credit institutions, electronic money institutions, payment institution, investment service providers (including portfolio management companies), AIF, financial investment advisor and insurance management companies in France

• Follow up of formalities with supervisory authorities (the Autorité des Marches Financiers [French Stock Market Regulatory Authority (AMF)] and the Autorité de Contrôle Prudentiel et de Résolution [French Prudential Supervisory Authority (ACPR)]), drafting all the contractual documentation required to launch the activity and setting up a risk map, a plan for monitoring and a guide to internal procedures.

• Regulatory audit in relation to compliance and periodical assistance to monitor compliance of French regulated entities

• Organisation structuring of French or foreign groups for the launch of new regulated activities in Europe (management companies, private banks, payment institutions, distribution platforms)

• Creation, accreditation and transformations of organismes de placement collectif [mutual funds (OPC)] and AIFs (traditional management, alternative management and investment capital)

• Drafting management mandates for institutional and private client


Distribution of banking and financial products and services

• Organisation of legal structures and intra-group flows for the purpose of the distribution in Europe of banking and financial products, according to the legal, regulatory and fiscal constraints

• Authorisation to market in France of foreign investment funds (banking and financial cold calling, public offering of financial securities) and assimilated products (life insurance contracts), drafting and updating mandatory documents and client documentation (subscription form, KID etc.)

• Drafting, auditing and optimisation of the marketing and process and documentation of the client

• Review of the compliance of on-line distribution sites

• Training and awareness of marketing teams in relation to ethical and money laundering rule


Disciplinary and judicial proceedings

• Banking and financial judicial and disciplinary proceedings

• Representation before the French authorities in disciplinary matters