Banking and Capital Markets Law
We advise banks, financial service providers, family offices, asset managers as well as private and public-sector enterprises and their management and supervisory bodies in all matters related to banking and capital markets law.
Our service in the field of banking and capital markets includes:
- Structuring of investment products under German Investment Law
- Legal advice on distribution of investment products in Germany, the European Union and Switzerland; notification to supervisory bodies (e.g. „European Passport“, cross-border activities)
- Drafting and review of contracts, e.g. investment advisory agreements and asset management agreements, customer information, general terms and conditions
- Representation in case of proceedings by supervisory authorities or investigations by a public prosecutor’s office
- Representation in court in order to defend against lawsuits filed by investors (e.g. prospect liability, investment advice, portfolio management)
- Application for licences to be issued by the supervisory authorities, e.g. BaFin, Bundesbank, Chamber of industry and Commerce (IHK)
- Compliance issues, e.g. drafting of rules of procedures, implementation of internal prevention systems (e.g. against money laundering), in-house trainings
- Law concerning loans and loan securities
- Data protection law
- Law on monetary transactions
