Investment firms
FIVELEX provides highly specialised legal advice throughout the various phases of an investment firm’s operations, from start-up (feasibility analysis, project design and development) to core business activities and all matters of corporate and commercial law.
The professionals at FIVELEX have extensive experience with the various types of activities performed by investment firms (brokerage, portfolio management and advice) and the various phases of their operations, such as:
• advice on procedures relating to authorisation to operate businesses and the acquisition of significant equity interests;
• advice on M&A and reorganisation transactions, including those with a cross-border component;
• counsel relating to company and corporate governance issues;
• advice on cross-border operations, including support for the establishment of branches and operation under the freedom to provide services;
• support in relations with distributors;
• support for legal and control functions in performing their respective duties;
• advice on drafting remuneration and incentive policies;
• support in preparing policies, reviewing their compliance and conducting gap analysis on the impacts of new legislation;
• advice on relinquishment of authorisation and liquidations;
• advice on managing client complaints, including in preparation for possible litigation;
• advice on the launch of new services and on financial innovation processes;
• advice on relations with outsourcers, the related contracts and the associated obligations towards supervisory authorities;
• support in relations with supervisory authorities, including in the context of inspection procedures and related interactions with the authorities, as well as participation in consultations on future legislation;
• advice in sanction proceedings.
In contract law, FIVELEX also provides advice regarding:
• contracts governing the provision of services to retail and institutional clients;
• agreements between intermediaries, such as placement agreements, management delegation agreements, advisory agreements and other cooperation agreements;
• distribution agreements;
• outsourcing agreements;
• agency agreements.
