Financial Market Regulations

General description

Our team is made up of experts who perfectly understand the needs of our clients, having gained experience, inter alia, as employees of supervisory authorities, in-house lawyers in brokerage houses, banks or international law firms. This experience allows us to adapt to your business. We have advised reputable banks, brokerage houses, investment fund companies, payment institutions and insurance companies, therefore we are familiar with market standards and know how to share them.

We offer our clients comprehensive corporate, regulatory and transactional care. This makes our services ideal for clients who put effective growth at the forefront.

How can we help you?

  • We will support in relations with financial regulators, including in licensing, supervisory or sanctioning proceedings

  • We will assess the suitability of the financial institution's bodies or their members

  • We will implement ESG factors and risks in the operations of a financial institution

  • We will establish and optimize internal control systems in financial institutions

  • We will deal with corporate governance (statutes, regulations and other internal procedures)

  • We will develop rules for conducting business, including the creation and offering of financial products (bylaws, contract templates)

  • We will support in managing the risk of non-compliance with legal requirements and regulatory recommendations (compliance)

Examples of our achievements

  • For two commercial banks, we conducted a multi-faceted process in order to implement the changes specified in Recommendation Z regarding internal governance in banks.

  • We supported one of the largest Polish commercial banks in the implementation of post-inspection recommendations of the Polish Financial Supervision Authority concerning, inter alia, the internal control system.

  • We have carried out numerous training courses on Recommendation H, Recommendation M and Recommendation Z.

  • We were involved in the implementation of Recommendation H in as many as 4 Polish banks.

  • We advised two Polish banks in the course of a problem inspection conducted by the Polish Financial Supervision Authority regarding, inter alia, the functioning of the internal control system.

  • We carried out a legal audit of the internal control system in one of the largest Polish banks with regard to its compliance with Recommendation H, and supported the bank in the process of implementing post-audit recommendations.

  • We provided advice to a Polish commercial bank on whether reorganization of its liquidity and interest rate risk management functions is in line with Recommendation H.

  • We provided advice to two Polish commercial banks on whether reorganization of money laundering and terrorist financing risk management functions is in line with Recommendation H

  • We provided legal advice to a commercial bank with regard to compliance management by creating a control model covering all regulations concerning software development processes.

  • We conducted a series of trainings in the BION methodology and provided comprehensive assistance to one of the largest banks in Poland in answering the queries in the self-assessment form, in particular as regards bank management and the internal control system.

  • We provided comprehensive assistance in the implementation of EBA outsourcing guidelines in a commercial bank.

  • We developed a compliance management policy, a conflicts of interest policy, a gifts and hospitality policy and a whistleblower policy for a brokerage house.

Contact person

partner | attorney-at-law

Wojciech Kapica

w.kapica@lawarton.com

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