FIVELEX provides specialised advice throughout the various phases of the operations of financial advisory firms, from start-up (feasibility analysis, project design and development) to ordinary business, such as:

• advice in procedures for enrolment in the Single Register of Financial Advisors for the purposes of authorisation to provide investment advice;
• counsel on regulatory matters (including MiFID 2 and anti-money laundering), as well as company and corporate governance issues;
• support in preparing internal policies and procedures, reviewing their compliance and conducting gap analysis on the impacts of new legislation;
• counsel on all significant issues relating to remuneration and compensation policies;
• advice on all matters of corporate and commercial law that may be relevant to financial advisory firms;

Corporate M&A >

• advice on managing client complaints, including in preparation for possible litigation;
• support in relations with supervisory bodies, including inspection procedures and counter-arguments in inspection procedures, as well as participation in consultations on future legislation;
• advice in sanction proceedings.
 

FIVELEX also provides advice regarding:

• contracts governing the provision of advisory services to retail and professional clients;
• agreements with third parties governing the provision of services.