Investment firms, asset managers, funds and distribution models: MiFID II market entry and investment services, governance and compliance, AML/CFT, suitability/appropriateness, product governance, marketing/distribution, fund/AIFMD/UCITS interfaces, financial-instrument classification and cross-border services.
Investment firms, asset managers and funds need products, distribution and operations to align with regulation. Client categorisation, product governance, marketing, AML/CFT, cross-border services and financial-instrument classification directly affect distribution, scalability and liability. We advise where those rules become business decisions rather than abstract compliance questions.
Discuss a matterThese are typical decision points for management, legal, compliance and operations teams. The emphasis depends on the business model and regulatory status.
Market access and operating models for investment firms, managers, funds and distribution businesses, including MiFID II, EEA cross-border services and relevant AIFMD/UCITS interfaces.
Product and client rules that directly affect distribution: client categorisation, suitability/appropriateness, product governance, inducements, marketing, disclosures and investor documentation.
Governance, compliance and AML/CFT frameworks, financial-instrument classification and the boundary between securities, funds, crypto-assets and other investment products.
Four areas show where legal advice most directly connects with business decisions, operations and risk in this sector.
Set-up and permissions for investment firms, managers, funds and distribution models, EEA services, outsourcing and relevant AIFMD/UCITS interfaces.
Financial-instrument and product classification, target market and product governance, client categorisation, suitability/appropriateness, disclosure and investor documentation.
Inducements, marketing and cross-border distribution, AML/CFT, conflicts, governance, control functions and internal processes.
New products or business lines, restructurings, FMA proceedings and remediation, plus investor claims, enforcement and regulatory disputes.
We advise on Liechtenstein law in the context of EEA/EU regulation and cross-border structures, coordinating with foreign counsel where appropriate.
When matters become contentious, we support companies, institutions, investors and individuals in regulatory proceedings, investigations, enforcement, asset recovery and court disputes.
Representative current and recently completed matter types are presented separately on our Selected Experience page on an aggregated and anonymised basis.
Analysis and publications on Liechtenstein, EEA regulation and cross-border developments complement our sector advice.
Scope of services: Industry descriptions are representative and do not constitute an exhaustive list of services or mandates. Bergt Law provides legal advice and representation. Where implementation requires notarial, fiduciary, tax, investment or financial services, these are provided by independent appropriately authorised professionals.
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