Financial Regulation and Investment Services

In a constantly evolving regulatory environment, Legália provides customized counseling meeting the requirements from its clients operating in the provision of investment services and financial intermediation.

The Firm’s ability to maintain a solid relationship with the institutional and academic world enables Legália to provide highly specialised assistance to credit institutions, investment firms, investment managers and insurance companies, in relation to all legal and regulatory aspects concerning their establishment, authorisation and business conduct.

The Firm helps market operators also in the management of inspection and sanctioning proceedings and in their liaising with supervisory authorities. Notably, the Firm provides advice in relation to MiFID legislation and in the resulting application to the organisational structure, internal procedures and operating contracts.

Legália provides legal assistance in connection with banking and financial activities carried out by banks and financial intermediaries. The Firm also assists international clients in the opening of new branches, subsidiaries or representative offices in Italy providing ad-hoc and continuous advise concerning the relationships with retail clients and with intermediaries, as well as in connection with the compliance fulfillments vis-à-vis the supervisory authorities.

The established collaboration of some of the Firm’s professionals with the competent authorities, the proximity to the industry at national level and the possibility to count on external specialised consultants ensures highly qualified support, which is prompt and focused on the solution of any issues that may slow down or hinder the clients’ business.

Prospectus Regulation: Consob adapts national regulation regarding Risk Factors

September 19th, 2019|0 Comments

Warning Notice no. 4/2019 of September 18, 2019 Subject: ESMA guidelines on risk factors pursuant [...]