We make legal services Financial Law

Financial Law

Legislation and regulation can barely keep up with technological developments. More often than not legislation fails to be implemented on time; the result is that it is not always clear to market participants what is expected from them. How can you achieve timely anticipation within a European level playing field? How do you ensure compliance with ever-changing regulation?

Our approach

Van Benthem & Keulen specialises in financial law. Our services combine sound expertise with a critical and transparent view on financial regulatory legislation. As such we never lose sight of the importance of sustainable relationships between our clients and the supervisory authorities. Knowledge-sharing and making our clients aware of future developments come as second nature to us. We work intensively alongside our other teams, including our civil law notary practice, Corporate/M&A, Liability & Insurance and Information Technology. This enables us to quickly respond and provide our clients with a multidisciplinary advice.

Our experience

  • Licence applications
  • Advising on compliance and regulatory matters
  • Guiding the issuance and offering of securities and shares (including securitisations) and financial products
  • Incorporating investment vehicles (UCITS and AIFMD) and other investment structures (including in-house securities investor systems), and the termination thereof
  • Drafting and reviewing documentation pertaining to regulatory legislation (e.g. AO/IC, fund documentation, prospectus, KIID)
  • Drafting and reviewing (cooperation) agreements (e.g. outsourcing, distribution, custody / depositary agreements, prime brokerage agreements)
  • Issuing legal opinions

Our clients

Our clients include banks, insurers, investment firms, investment institutions, financial service providers, clearing and settlement institutions, payment institutions, leasing companies, (listed) companies, private equity, pension funds, fintech companies and crowdfunding projects.

Recent cases Financial Law

  • Creation of various supervised investment funds (including Lynx Rendement Fonds) and exempted funds (including Resort Capital Fund)
  • Structuring and advising various private equity funds
  • Assisting Scildon in the settlement of its bank savings product (including the winding up of its umbrella fund and investment giro) and the transition of the investors in the bank savings product to an alternative insurance product
  • Assisting in the issue and offering of securities (e.g. Oikocredit)
  • Drafting documentation and maintaining contacts with regulators in setting up securitised note structures
  • Issuance of several legal opinions to (European) institutions, such as the European Payments Council and DNB for the purpose of admittance to schemes on request of various banks and EquensWorldline, respectively
  • Compliance advice for several banks, insurers, fund and asset managers, financial service providers and payment services providers (including Triodos Bank, Scildon, equensWorldline and a major service provider in the area of consumer credit)
  • Issuance of a legal opinion for the purpose of assigning a credit rating in relation to a securitised notes issue
  • Advising on CRD, AIFMD, UCITS, MIFID II, PSD II, Solvency II, PRIIPS