Tax Compliance & Suitability

Tax Compliance

Tax Compliance circles around the correct identification of the Ultimate Private Taxpayers, the monitoring and reporting of AML risks in tax matters as well as the assessment of complex structures. Our legal expertise is focused on the correct identification of risks, taking into account the legislation in the jurisdiction of the financial intermediary and the end client. We provide solutions on proper safety precautions when dealing with complex client relationships, as well as on how to repair certain situations (tax disclosures, compliant restructuring, establishing track records and a case narrative for audit purposes).

Tax Suitability

Portfolio tax risk is the risk of acquiring a financial instrument that violates the recommendations of tax authorities. This can result in two negative effects: Increased taxation (which will reduce performance after tax), or explicit penalties (either financial or criminal). According to regulatory minimum standards, Tax Suitability is the new benchmark. In case a portfolio is under a discretionary or advisory mandate, clients could legitimately – under European and Swiss laws – seek compensation from the wealth manager for damages. We mitigate legal risks by implementing corresponding services in the financial intermediary’s day-to-day activity.

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