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Capital markets/Finance

Capital markets and loan facilities belong to the most important sources of funding for corporations and are thereby essential for economic growth and wealth. In the aftermath of a global financial crisis with exorbitant dimensions banks were regulated significantly stricter. Additionally, the legislators tried to regain investor confidence by a stricter regulation of the financial industry. Basel III, MiFID II and the market abuse regulation are only a few keywords. At the same, an effort can be noticed to facilitate the access to capital markets for SMEs. In Austria, for instance, a new crowdfunding law was introduced, at European level the planned capital markets union will facilitate the prospectus regime. 

Due to this vivid legislative activity the legal framework is in steady - partially fundamental - change. Overall, market participants in the field of Capital markets/Finance are confronted with a tremendous regulatory density fragmented in countless legal sources. Concurrently violations are sanctioned with draconian penalties. In this challenging environment comprehensive and professional legal advice is crucial.

We support:

  • Corporates and banks in capital market transactions such as IPOs, Re-IPOs and corporate bonds
  • Issuers in the field of capital market compliance, thus in complying with the market abuse regulation, the Stock Exchange Act and regulations of the Financial Market Authority
  • Issuers in stock corporation law, e.g. by accompanying shareholders’ meetings, advising purchases and sales of own shares, setting up employee option programs and in corporate bodies’ liability issues
  • Issuers in corporate governance, like by external evaluations and in drafting the annual corporate governance report
  • Investors and corporates in the purchase/sale of companies and shareholdings, for instance in the field of private equity and venture capital
  • Young growth companies in crowdfinancing projects and in cooperations with large corporations
  • Banks and corporates in loan origination and securitization issues (e.g. pledges, assignments for securities)
  • In litigious matters such as administrative prosecutions by the Financial Market Authority and civil proceedings against investors

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