Regulatory Finance and Compliance

With lecocqassociate’s in-depth knowledge and industry experience, we provide clients with services in the areas of regulatory finance and compliance, financial regulation, including incorporation, compliance, capital markets and banking regulation.


Our team is well versed in the laws and regulations that are issued by regulators in Switzerland (Swiss Financial Markets Supervisory Authority), European Union (including the Malta Financial Services Authority and CSSF), United Arab Emirates (including the UAE Central Bank, Securities & Commodities Authority, Dubai Financial Services Authority, Abu Dhabi Global Market Place Authority) and Cayman Islands. The Malta team specifically provides advice on the application of MiFID II.


The group has extensive and proven experience in regulatory banking and broker dealing matters and we offer a specialised and solution-based approach to our clients’ needs. We assist clients in the structuring and licensing process of banks (including investment banks) and broker dealers and in providing tailor-made regulatory advice.


AIFs, PIFs, AIFMs and DIFC funds


FundRaising Structures and AssetsThe team at lecocqassociate can also assist in the structuring and licensing of fund management companies, AIFs and PIFs, AIFMs, DIFC funds and regularly provide regulatory advice and assistance to licensed and registered fund management companies as well as asset managers, financial advisors and private equity firms.




Our services cover both pre-licensing as well as post-licensing stages. Our client’s needs are our priority and as such we conduct full-scale compliance reviews and provide tailor-made compliance monitoring programmes. We review existing internal business structures and strategies to adapt them to the constantly evolving regulatory landscape. This involves the drafting of internal directives and policies that address regulations on a day to day basis.


Our incisive and solution-driven team can advise on all areas of regulatory finance and compliance regulations, including, but not limited to the following: anti-money laundering; risk control & management; compliance & compliance monitoring; data protection; business continuity & disaster recovery; marketing & cross-border; code of conduct; anti-fraud; complaints handling; by-laws; credit & lending; cyber security; supervision; client on-boarding; and sanctions.


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