Banking Supervisory Law and Financial Regulation

Our practice also advises on the regulatory requirements for current and planned banking business and financial services, as well as the marketing of financial instruments and investment products, for instance:

  • Licensing requirements pursuant to Sec. 32 German Banking Act (“Kreditwesengesetz”)
  • Legal issues relating to securities trading under the German Securities Trading Act (“Wertpapierhandelsgesetz”), for instance insider dealing regulations (e.g. prohibition of insider trading and ad-hoc notification requirement), notification and disclosure requirements regarding voting rights, market manipulation and inducements
  • Licensing requirements for financial investments intermediaries (“Finanzanlagenvermittler”) pursuant to Sec. 34f German Trade Regulation Act (“Gewerbeordnung”)
  • Requirements of the European Market Infrastructure Regulation (EMIR) and regulatory/implementing technical standards (RTS/ITS) for the OTC-trading of derivatives (e.g. reporting, risk mitigation, exchange of collateral and CCP-clearing)
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