Banking and Capital Markets/ Financial Services

The scope of financial regulation is becoming increasingly complex. Our integrated, cross-disciplinary approach helps your company to find its way through the regulatory labyrinth. Strict compliance not only protects your company from regulatory risks, but also enables you to take advantage of opportunities that arise.

What EY Law can do for you

Our team advises national and international banks, insurance companies, asset managers, financial services companies and pension funds as well as non-regulated companies in the areas of banking supervisory law, payments & fintechs, wealth & asset management, and insurance supervisory law. We support you in the implementation of regulatory requirements, in checking business models for existing authorization requirements, in start-up projects and authorization procedures, in outsourcing projects, in the context of money laundering prevention, in the creation of organizational manuals and internal guidelines, and in the restructuring and resolution of institutions.

We further advise you on restructuring and transactions, in particular on the sale and acquisition of institutions and insurance companies, (sub) business areas and portfolios. Additionally, our specialists actively cooperate with market players to develop documentation, guidelines and leading practices.


  • Advice regarding regulatory issues (Banking Act, Insurance Supervision Act, Stock Exchange Act, Payment Services Act, Securities Supervision Act, Pension Fund Act, E-Money Act, Investment Fund Act, Alternative Investment Fund Managers Act, Consumer Credit Act, Alternative Financing Act, etc.)
  • Data protection and banking secrecy
  • FinTech
  • Payments
  • Outsourcing projects
  • Blockchain “distributed ledger” technology and krypto assets
  • Financing
  • Internal audits
  • Training courses for bank employees (e.g. prevention of  market manipulation and insider trading)
  • Fit&Proper trainings in cooperation with auditors
  • Advice in acquiring financial institutions or parts of financial institutions, including due diligence services
  • Restructuring of financial institutions
  • Advice on optimizing the capital structure of financial institutions
  • Drafting, reviewing and optimizing bank-related agreements (e.g. warranties, loan agreements and others)
  • Advice and representation with respect to administrative procedures and administrative penal procedures
  • Banking and capital market proceedings before civil courts
  • Advice on crowdfunding

Capital Markets

We advise you on

  • Advice concerning all areas of capital markets law, including ad-hoc disclosure, prohibition of insider trading and other obligations of listed companies
  • Advice on all questions concerning public takeovers (public takeover bids, notification proceedings before the Austrian Takeover Commission, etc.)
  • Representation before the financial market supervisory authority
  • Advice on Corporate Governance (implementation, review of compliance etc)
  • Assisting in the realization of delistings and squeeze-outs
  • Advice on compliance of public companies
  • Advice on capital markets prospectuses
  • Advice on employee participation models / employee participation foundations
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