Securities Markets

Investment Services Firms 

Garrigues boasts substantial experience in providing integral advisory services to such firms, including advice in their start-up or formation phases, and on any legal aspects that may arise in the course of their business activities, and our lawyers frequently act as secretaries to their boards of directors.

We have taken part in the drafting and negotiation of discretionary portfolio management agreements (and registered them at the Spanish National Securities Market Commission), distribution agreements, custodian agreements, fund management agreements, and so on.

We have also advised such firms and their directors and executives in enforcement proceedings instituted by the regulatory agencies and on all the compliance-related operating requirements, such as anti-money laundering measures, client identification, transparency, filing and registration, personal data protection, etc.


Javier Ybáñez
Hermosilla, 3 - 280001 Madrid
Tel: +34 91 514 52 00
Fax: +34 91 399 24 08