Banking, Finance and Insurance

Assistance and consulting for both national and international clients operating in the banking, financial and insurance sectors regarding the investment services and activities, collective savings management, banking and insurance services, on the following issues:

• legal and/or regulatory;

• organizational;

• money laundering;

• internal controls (compliance and internal audit).

Assistance on legal and regulatory issues:

- at the stage of establishment of the companies;

- in the process of authorization to provide services before the Supervisory Authorities;

- in carrying out the activity on a cross-border basis, under the right of establishment or freedom to provide services;

- determining the applicable law regarding the relations with the clients and intermediaries;

- drafting contracts on investment, banking, leasing and factoring services;

- on the regulation of transparency;

- drafting of the official documents addressed to the Supervisory Authorities;

- defence activities related to the sanctioning proceedings encouraged by the Supervisory Authorities (Consob, Bank of Italy, UIF, IVASS);

- assistance in the establishment of any type of mutual fund (including alternative funds) under Italian law;

- in the marketing and proposal of foreign funds and SICAVs in Italy.

Legal assistance in the organizational field consists of the following activities:

• interpretation and application of banking, financial and insurance legislation;

• definition of governance and organizational structures according to the regulations of the Supervisory Authorities;

• definition of the tasks and responsibilities assigned to the corporate bodies;

• drafting and updating of company policies, regulations and internal procedures;

• definition of the operational processes of front office, back office, accounting, market abuse; supervisory reports to the Bank of Italy, UIF, CONSOB and IVASS;

• preparation and revision of organizational models pursuant to the Legislative Decree 231/01 on the subject of administrative liability of entities;

• support in the control activity carried out by the Supervisory Body (ODV).

Assistance to the control functions with operational, legal, regulatory and organizational support to the managers of the respective functions (compliance and internal audit).

Assistance to the anti-money laundering function with operational, legal, regulatory and organizational support to the internal manager.