Regulatory compliance can be a hurdle for even the most experienced financial services professional.

      Not only is it about complying with the letter of the law. It is a question of embedding compliance in your organization’s culture to prevent possible breaches at source and to ensure a professional response if something does go wrong.

      This is where our Regulatory & Compliance experts have particular expertise. Our knowledge goes far beyond pure legal and regulatory work, enabling us to work with you to implement truly effective changes to your business and operating models. From impact assessment to design and implementation, through to the testing phase.

      Reto Gareus

      Partner, Financial Services, Regulatory & Compliance

      KPMG Switzerland

      Marc Kilcher

      Partner, Regulatory & Compliance, Financial Services

      KPMG Switzerland


      How we can support you

      Accompanying you on your transformation journey and helping you be compliant in every situation and technical matter. Let us help you benefit from the insights of our Swiss and international network of specialists.

      • Financial Crime: KYC & File remediation, Due Diligence onboarding procedure, Transaction review, Sanctions, Corporate Intelligence, Antibribery & Corruption
      • Legal & Compliance: Licensing & Liquidation support, Recovery & Resolution, Digitalization, Outsourcing and Impact assessments
      • Regulatory Investigations: Investigations in case of regulatory irregularities (notably with financial instruments or market conduct), expert report, document review as support to litigation, Fraud prevention & detection
      • Markets / Investor Protection / Suitability: Suitability assessment, review of TOM, support with digitalisation and effectiveness in accordance with the various acts and ordinances (FINSA, FINIA, EMIR, FMIA, Market Conduct, MiFID, MiFIR)
      • Governance & Internal Controls: Corporate Governance, Internal Control Review, Improvement, digitalisation and effectiveness review, Regulatory Monitoring, Support in managing FINMA’s requests (e.g. supervisory review, deep dive, writing letter, etc.)

      Partnering for success: submit your interests & open questions

      We look forward to your requests and will be happy to answer open questions you may have. 

      Meet our experts

      Reto Gareus

      Partner, Financial Services, Regulatory & Compliance

      KPMG Switzerland

      Marc Kilcher

      Partner, Regulatory & Compliance, Financial Services

      KPMG Switzerland

      Alexander Lacher

      Partner, Financial Services, Head Insurance Advisory

      KPMG Switzerland

      Andreas Hagi

      Director, Financial Services

      KPMG Switzerland

      Marc Schelker

      Director, Financial Services

      KPMG Switzerland