Investment Services& Financial Markets

Our firm advises investment services providers (PSI), financial investment advisers (CIF), credit institutions, investment firms and fintech companies at every stage of their development, on structuring, licensing, compliance and oversight matters.

We assist providers throughout their lifecycle - from formation and obtaining a licence from the AMF (French financial markets regulator) or the ACPR (French prudential supervisory authority), to establishing their internal governance and compliance frameworks, through to managing inspections and disciplinary proceedings.

Our areas of practice cover all regulatory, contractual and litigation matters relating to investment services and financial markets:

• Licensing and authorisation procedures (formation and support of PSIs, CIFs, brokerage firms and regulated fintechs, including hybrid business models);
• Regulation of market activities: advice on marketing, distribution and provision of investment services (MiFID II, IDD, EMIR, MAR, SFDR, etc.);
• Compliance and governance: drafting internal policies, control frameworks and reporting procedures; support to compliance and internal control functions (RCCI, RCC);
• Relations with supervisory authorities: support during AMF/ACPR inspections, investigations and disciplinary proceedings; preparation and assistance during hearings and responses to observation letters;
• Cross-cutting regulation and strategic regulatory monitoring;
• Regulatory and financial litigation: defence of providers and their managers before civil or disciplinary courts, as well as in sanction proceedings.