U.S. Regulatory Compliance
The U.S. market is particularly cumbersome for non-U.S. based financial institutions due to myriad of laws and compliance obligations.
We advise banks, family offices private equity and hedge funds and independent asset managers on issues associated with registering as a registered investment adviser under the Investment Advisers Act of 1940. We also consult on compliance issues for non-U.S. based registered investment advisers.
Identifying U.S. Clients
We work with Swiss based institutions to help identify U.S. person clients in order to ensure the institution's compliance with U.S. securities laws and obligations under their Qualified Intermediary agreement.
Qualified Intermediary Program & Foreign Account Tax Compliance Act ("FATCA")
We work with non-U.S. based institutions on their compliance with their QI agreements and with recent law changes under FATCA concerning the status of institutions as "Foreign Financial Institutions."
