[{"id":"0c4dd781-1584-47fe-b989-db0c12480130","type":"customBlock","name":"Collapses Block","data":{"fields":[{"slug":"collapses","type":"repeater","label":"Collapses","fields":[[{"slug":"text","type":"input","label":"Title","value":"Authorisations, Registrations & Regulatory Notifications"},{"slug":"content","type":"html","label":"Content","value":"

We advise on authorisation, registration and notification procedures before the CNMV, the Bank of Spain and SEPBLAC, including the incorporation and set-up of financial institutions, the extension of programmes of activities, and the regulatory adaptation of existing structures and operations.

~~Our involvement includes the analysis of regulatory feasibility, definition of strategy, preparation of the application file and interaction with supervisors throughout the entire process.~~

We also have experience in files relating to qualifying holdings, changes of control, relevant changes in shareholding structure or governing bodies, and other regulatory procedures arising from the corporate and operational evolution of supervised entities.

"}],[{"slug":"text","type":"input","label":"Title","value":"Ongoing Regulatory Advice"},{"slug":"content","type":"html","label":"Content","value":"

~~We provide ongoing advice on the interpretation and application of the sectoral regulatory framework applicable to financial institutions and other market participants.~~

~~Our advice includ~~es the analysis of complex legal regimes and the handling of queries relating to prudential requirements and internal organisation, conduct of business rules, product governance, client classification, suitability and appropriateness assessments, information and transparency obligations, as well as other requirements arising from applicable sectoral regulation.

~~Our practice covers, among others, MiFID, UCITS, AIFMD, PRIIPs, SFDR and MiCA, as well as relevant national implementing legislation and supervisory criteria in each case~~.

"}],[{"slug":"text","type":"input","label":"Title","value":"Fintech, Crypto-assets & Financial Innovation"},{"slug":"content","type":"html","label":"Content","value":"

We advise innovative business models in the financial services sector, with particular focus on fintech projects, blockchain-based structures, digital assets, crypto-assets and new technological infrastructures applied to the financial sector.

We advise on the determination of the applicable legal framework, the regulatory classification of products and services, and the structuring of operating models from a financial regulatory perspective.

We also advise on financial innovation projects with a cross-border component, as well as initiatives subject to specific supervisory assessment processes, including matters related to MiCA and other applicable regimes within the digital ecosystem.

"}],[{"slug":"text","type":"input","label":"Title","value":"Governance, Organisation & Internal Control"},{"slug":"content","type":"html","label":"Content","value":"

~~We advise on the design, review and implementation of governance, organisational and internal control systems of regulated entities.~~

Our work includes the review of organisational structures, internal allocation of functions, internal control functions, and internal policies and procedures, with particular attention to ensuring the adequacy of these frameworks to the nature, size and complexity of each entity.

~~We also assist in processes for reviewing and strengthening organisational structures, particularly in contexts of growth, restructuring, regulatory adaptation or response to supervisory observations.~~

"}],[{"slug":"text","type":"input","label":"Title","value":"Corporate Transactions with a Regulatory Component"},{"slug":"content","type":"html","label":"Content","value":"

We advise on corporate transactions affecting regulated entities or activities subject to supervision, including acquisitions, restructurings, structural modifications and other transactions with regulatory relevance.

~~Our approach combines corporate and transactional analysis with the identification and processing of authorisations, notifications and other regulatory requirements that may apply.~~

In particular, we analyse the impact of these transactions on control structures, qualifying holdings regime, fit and proper requirements, corporate governance frameworks and organisational requirements arising from such transactions.

"}],[{"slug":"text","type":"input","label":"Title","value":"Corporate Secretarial Services for Regulated Entities"},{"slug":"content","type":"html","label":"Content","value":"

~~We advise on corporate secretarial functions of supervised entities, with particular attention to the requirements arising from their status as regulated entities.~~

Our advice includes, among other matters, the preparation of notices, minutes, certificates and other corporate documentation, monitoring of board of directors’ and general meeting or sole shareholder resolutions, review of the formal adequacy of decisions with regulatory impact and support in corporate and registry actions.

"}],[{"slug":"text","type":"input","label":"Title","value":"Supervisory Actions, Inspections & Sanctioning Proceedings"},{"slug":"content","type":"html","label":"Content","value":"

~~We advise our clients in the context of supervisory actions, information requests, inspections and sanctioning proceedings conducted by the CNMV, the Bank of Spain and SEPBLAC.~~

~~Our assistance includes the definition of legal strategy, preparation of submissions, pleadings and responses to requests, as well as support throughout the entire procedure.~~

We also assist entities in the identification and remediation of regulatory issues, through the design and implementation of corrective measures and action plans aimed at strengthening their organisational and internal control frameworks.

"}],[{"slug":"text","type":"input","label":"Title","value":"Anti-money Laundering & Counter-terrorist Financing"},{"slug":"content","type":"html","label":"Content","value":"

~~We advise on anti-money laundering and counter-terrorist financing matters in the context of obligations applicable to financial institutions as obliged entities.~~

~~Our advice includes the analysis of applicable obligations and the review of manuals, policies and internal procedures.~~

We also provide legal support in relation to customer due diligence measures, onboarding and monitoring procedures, enhanced due diligence and internal control obligations in AML/CTF matters, as well as in actions and requests related to SEPBLAC.

"}],[{"slug":"text","type":"input","label":"Title","value":"Entities & Sectors"},{"slug":"content","type":"html","label":"Content","value":"

We regularly advise investment firms, collective investment institutions and private equity entities and their management companies, crowdfunding platforms and, more recently, crypto-asset service providers.

We also advise entities and operators within the supervisory scope of the Bank of Spain, as well as businesses linked to digital assets, virtual currencies and other technology-based financial services.

"}]],"definition":[{"slug":"text","type":"input","label":"Title","value":""},{"slug":"content","type":"html","label":"Content","value":""}]}],"options":{"class":""}},"slug":"CollapsesBlock"}]

Alexander Baumgarth

Austria

Alexander Baumgarth

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