Charlotte Møller Law Firm was founded in 2016 and is specialised in financial services regulation, particularly the MiFID, the AML Directives, and the regulation of Collective Investment Schemes (UCITS and AIFs).

We can assist you on the regulatory approval process for firms to be licensed under Danish law as:

  • Alternative Investment Fund Managers (forvaltere af alternative investeringsfonde),
  • Fund Management Companies (Investeringsforvaltningsselskaber),
  • Investment Management Companies (fondsmæglerselskaber),
  • Credit intermediaries (boligkreditformidlere),
  • Financial Advisers (finansielle rådgivere),
  • Investment Advisers (investeringsrådgivere), and
  • Insurance Intermediaries according to the new Insurance Distribution Directive (forsikringsformidlere).

Further, we assist on the passporting process for EEA based collective investment schemes and managers wishing to do cross-border business into Denmark from abroad.

MiFID:
We assist fund managers on investor protection rules, reporting obligations etc. to ensure compliance with MiFID II.

AML/CTF:
We assist on the drafting of AML policies and procedures as well as the setting up of internal controls as required under the fourth AML Directive. We advise on sanctions control and screening and offer AML training programmes to employees.

COMPLIANCE:
We have a professional knowledge of regulatory compliance for asset managers, credit institutions, and collective investment schemes.

We assist our clients on the establishment of sound compliance monitoring and compliance reporting schemes and help clients to get the required business procedures and policies in place for a financial institution under scrutiny from the Danish regulator.

For large assigments, we work with other fully qualified freelance lawyers with experience from the Danish financial sector.

Please feel free to contact us if you have any questions relating to our services.

Charlotte Møller Law Firm supports Red Cross' humanitarian work around the world.
Charlotte Møller Law Firm supports Red Cross' humanitarian work around the world.