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Capital markets and banking

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, PRIIP regulation and market abuse regulation are only a few keywords. As a result, comprehensive harmonization efforts can be identified that lead to difficult questions concerning the interpaction between European Union law and national law. The coming Capital Markets Union will once again lead to an increase in EU legislation.

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

KEY AREAS

  • advising corporates and banks on capital market transactions such as IPOs, Re-IPOs and corporate bonds
  • advising listed companies, banks and insurance companies 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 or with the related law applicable to stock corporations (stock option programs, purchases and sale of own shares, etc.) and corporate governance
  • advising banks, investment firms and insurance companies on the PRIIP regulation 
  • advising banks and investment firms on other supervisory issues, in particular on the sale of securities  
  • advising banks and corporates in loan origination and securitization issues
  • advising banks, investment firms and listed companies in litigious matters such as administrative prosecutions by the Financial Market Authority and civil proceedings against investors 
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