Bio

Roland Truffer chiefly advises in the fields of fin­an­cial ser­vices and secur­it­ies reg­u­la­tion. He also assists cli­ents with cap­it­al mar­ket trans­ac­tions, and on all mat­ters of cor­por­ate law and gov­ernance. Roland advises insurers, banks, secur­it­ies firms and fin­an­cial mar­ket infra­struc­tures on all aspects of their reg­u­lat­ory duties. He sup­ports com­pan­ies lis­ted on a Swiss stock exchange as to their com­pli­ance with secur­it­ies laws and list­ing rules, and share­hold­ers as to dis­clos­ure oblig­a­tions. He rep­res­ents his cli­ents in all types of licens­ing, admis­sion, enforce­ment and sanc­tion proceedings. Rolan­d’s cap­it­al mar­ket prac­tice focuses on hybrid instru­ments (includ­ing those qual­i­fy­ing as reg­u­lat­ory cap­it­al of insurers and banks). He reg­u­larly assists with reor­gan­iz­a­tions of reg­u­lated bank­ing and insur­ance groups. Fur­ther areas of expert­ise include the spe­cial insolv­ency regimes apply­ing to fin­an­cial ser­vice pro­viders (includ­ing recov­ery & res­ol­u­tion plan­ning), reg­u­lat­ory oblig­a­tions of parties to deriv­at­ive trans­ac­tions, the reg­u­la­tion of fin­an­cial mar­ket infra­struc­tures (FMIs), and cor­por­ate gov­ernance. Roland also has broad exper­i­ence advising on gen­er­al com­pany and com­mer­cial law matters. Roland Truffer reg­u­larly pub­lishes in his fields of expert­ise. He is the author of lead­ing com­ment­ar­ies, inter alia, on the super­vis­ory duty to provide inform­a­tion to FINMA, on the admis­sion of par­ti­cipants to trad­ing ven­ues, and on the gen­er­al meet­ing of com­pan­ies lis­ted by shares (includ­ing the judi­cial chal­lenge of share­hold­ers’ resolutions).