Investment Services

WALLESS advises a broad range of investment services market participants from the major financial institutions to private clients on a full range of issues pertinent to the investment services industry.

Our team of lawyers, which has unique qualifications and includes the most experienced professionals in the sector, will steer you through the process of products structuring, compliance and securities industry enforcement matters whose complexity is unmatchable with any other industry.

With almost two decades of legal knowledge, the WALLESS team can share their experience on a number of investment-connected issues such as licensing and registration of the service provider, development and application of the regulatory procedures and regulations; product governance and structuring documentation, sales and marketing process, plus trading procedures. WALLESS lawyers can also provide crisis management solutions including the defence of enforcement actions, regulatory investigation, and other litigation related solutions to actions surrounding securities.