I advise financial services providers on a variety of US-related matters, including SEC and IRS laws and regulations, FATCA, GDPR compliance (vis-à-vis US authorities), inspection and examination of RIAs, AML/SARs reports, and broadly on litigation and investigations initiated by US federal authorities (DOJ/IRS/SEC). I also regularly provide in-house à la carte compliance trainings. My clients range from single family offices to international banks, investment advisers and broker-dealers, in the US and in Switzerland.
I also advise US individuals in their dealings with Swiss banks, notably in matters of succession and account freeze, as well as persons seeking to move to or invest in the US.
My experience includes representing individuals and financial institutions in a variety of cases, including securities litigation, Ponzi schemes, derivative and class action lawsuits, breach of non-compete agreements, FINRA arbitrations, as well as SEC investigations and enforcement actions.