Banking and Capital Markets/ Financial Services

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

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 the review of business institutions for existing licensing requirements, in the establishment of institutions and licensing 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 dissolution of institutions.

We further advise you on restructuring and transactions, in particular on the sale and acquisition of institutions and insurance companies, (sub) divisions 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
  • Financing arrangements
  • 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 connection with the acquisition of credit institutions or parts of credit institutions, including the performance of due diligence services
  • Restructuring of credit institutions
  • Advice on optimizing the capital structure of credit institutions
  • Drafting, reviewing and optimizing bank-related agreements (e.g. guarantees, loan agreements and others)
  • Advice and representation in administrative proceedings and administrative penal proceedings
  • Litigation regarding banking and capital market law
  • Advice on crowdfunding

Capital Markets


  • Advice concerning all areas of capital markets law, including corporate governance issues
  • Advice on all questions concerning public takeovers (public takeover bids, notification proceedings before the Austrian Takeover Commission, etc.)
  • Representation before the Financial Market Authority
  • Advice on the implementation of corporate actions
  • Assisting in the realization of delistings and squeeze-outs
  • Advice in connection with ad-hoc disclosure, prohibition of insider trading and other obligations of listed companies
  • Advice on capital markets prospectuses
  • Advice on employee participation models/ employee participation foundations
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