We provide our clients with comprehensive legal advisory related to the capital market and FinTech sectors. We develop in-depth legal analyses of the status quo based on data provided by the client. We advise how to adapt the operations to the current legal system and how to deal with official audits and procedures pending with supervisory authorities.
We support clients by assessing whether proposed businesses will be a regulated activity.
We also design internal policies and procedures as needed to apply for investment banking permissions.
We represent clients during administrative procedures pending with the Polish Financial Supervision Authority (KNF), whether pertaining to new broker/payment processor licences or their subsequent changes.
We can also prepare the entire formal documentation required to register an alternative investment companies (ASI) and their managing entities (ZASI).
We assist om works on documentation and internal processes related to applying for the investment company agent status (AFI).
We help erase entry from the public warning list of the Polish Financial Supervision Authority (KNF).
We provide analysis of options for seeking claims against bond issuers.
We prepare clients for the bond issue processes to ensure full legal compliance.
We advise on what documentation is required to be able to offer financial instruments on the market.
The recently amended Act of 1 March 2018 on counteracting of money laundering and financing of terrorism (“AML Act”) requires “obliged institutions” to carry out the so-called risk assessment (Article 27.1 of AML Act). AML and CFT risks need to be identified and assessed in relation to an organisation’s activity, including risk factors related to […]
On 21 June 2017, a new act on was implemented concerning statutory auditors, auditing firms and public supervision. Works on the new law have been ongoing for almost two years. The new rules implement the EU auditing regulations into the domestic legal environment. The act brings far changes, mainly for firms qualified as public interest […]
On 10 October 2018, during the FinTech conference in Luxembourg, Mr Patrick Armstrong presented the ESMA approach to FinTech, especially DLT that underlies the blockchain protocol and cryptocurrencies. No changes are expected in that regard as ESMA is going to continue observing this technology. Mr Armstrong stressed how important it is for a regulator to […]
