Legal, regulatory and compliance capital markets services

PwC Legal’s market-leading capital market practice has extensive experience in advising Swiss and non-Swiss clients in all areas of capital markets.

Which capital markets services does PwC offer?

From equity and debt issues through to derivatives and structured finance as well as digital assets, our market-leading capital markets practice advises on the full range of Swiss and European and international laws through our global network of offices. We offer multidisciplinary and market-leading services in all market capital matters:

listings of products and companies
product creation, structuring and documentation
health checks
advisory services

A key strength of our practice is the ability to offer a global team combining interdisciplinary technical expertise and a wealth of experience. We have regular contact with listing authorities and regulators in Switzerland, Europe and globally.

Our services

Product creation, transactions and distribution in Switzerland, Europe and the world

Drafting all documents and managing capital markets transactions, in particular prospectuses under Swiss and EU law

Our team has ample experience in drafting all documents related to capital markets transactions, such as purchase agreements, intercreditor and shareholder agreements, prospectuses, supplements, legal opinions and the like. We also regularly manage capital markets projects.

A key competence of ours is creating prospectuses under Swiss and EU law and managing the approval process with the Liechtenstein regulator and subsequent passporting into other EEA jurisdictions. We are also experienced in the process of getting foreign prospectuses recognised by the Swiss prospectus reviewing body and in the approval process for Swiss prospectuses.
Creating and structuring derivatives, bonds, stocks, ETPs and other financial instruments in all asset classes (traditional, digital assets, commodities, bankable and non-bankable, etc.)

Structuring innovative and new financial instruments is part of our core expertise. We have created multiple financial instruments for the first time, such as actively managed exchange traded products (ETP) and digital assets backed 1:1 by physical commodities.

Distributing financial products in Switzerland, Europe and globally

We plan, manage, advise on and implement distribution programmes and strategies related to all kinds of financial instruments that are privately or publicly offered in Switzerland, Europe and globally. PwC Legal is the world’s legal network with the most extensive global reach and thus covers all the legal and regulatory requirements with regards to the offering of products and the related financial services.

Listing companies and products on Swiss and foreign stock exchanges and advising on the ongoing compliance of listed companies and issuers

Listing financial products on Swiss and foreign stock exchanges

As recognised representative with SIX Swiss Exchange we have listed multiple financial products, issuers and companies on SIX Swiss Exchange and BX Swiss Exchange. Our experience covers all activities in different segments of SIX Swiss Exchange and BX Swiss Exchange.
Ongoing compliance with the listing requirements on an ad hoc or ongoing basis

We advise listed companies and issuers with respect to all aspects of compliance with the listing regulations of Swiss and foreign stock exchanges, such as – but not limited to – disclosure of shareholdings, ad hoc publicity, regular reporting obligations and corporate governance requirements.

Together with our colleagues from capital markets advisory, we offer audit and tax health checks with regards to the compliance regime with which listing candidates and listed companies must comply.

Authorisation of capital market intermediaries and financial market infrastructures with regulators in Switzerland and Europe

Obtaining authorisation of capital market intermediaries (such as banks, fintech companies, investment firms, CSDs, stock exchanges, MTFs and OTFs) from the Swiss and Liechtenstein regulators

Our authorisation practices with regards to capital markets intermediaries is market leading. We have been involved in many authorisation projects in the last few years.
Obtaining authorisation of financial market intermediaries (such as e-money institutions, payment systems, CCPs, settlement systems) from the Swiss and Liechtenstein regulators

One of our key practice areas is financial market infrastructures and their set-up, enhancement and authorisation processes in Switzerland, Liechtenstein and other European jurisdictions. We have long-lasting and established relationships with all key regulators.

Commodities trading

Setting up commodities trading firms and commodity-related marketplaces

Another key area of our practice is the set-up and enhancement of commodities trading firms of all sizes (small, medium and large).

Creating, structuring, documenting and implementing all sorts of physical commodities trading products and related derivatives

We also assist in the creation, drafting and implementation of trading activities in physical commodities and related derivatives.
Drafting and advising on trade finance-related documentation

We advise banks and commodities trading firms with regards to trade finance-related documents. We draft the corresponding documentation and issue legal opinions related to them.

Contact us

Silvan Thoma

Director, Legal FS Regulatory & Compliance Services, PwC Switzerland

Tel: +41 58 792 1817

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