Capital Market Law
Corporate Finance and Capital Market Law
Within the scope of corporate financing and the financing investments, we support you in case of external financing. You can count on us when it comes to break new grounds of the capital market. We support you in the process of issuing bonds and in the initiation of closed and open funds or any kind of mezzanine financing.
Issuance of financial instruments
An entrance into the market with financial instruments is an exciting and interesting matter for an entrepreneur. You will need several trusted partners to accompany you on this way. Delays, breakdowns or a failure can not be afforded. Particularly important is the selection of the appropriate funding; we are here to advise you with the right conceptualization of your financing.
Financial law and capital market law
Capital-market financing may trigger licensing, prospectus, disclosure and conduct requirements depending on the instrument, offer and activities. Not every financing requires the same approvals or several regulatory permits.
Capital-market financing remains an important option. Relevant rules include the AktG, WpHG, WpÜG, WpPG, EU Prospectus Regulation, KAGB, KWG, WpIG and ZAG. The former Investment Act (InvG) has been replaced by the Capital Investment Code (KAGB); other legislation, including the VermAnlG, may apply to particular products.
In accordance to these topics, we also work on:
- Licensing and registration requirements under the KWG, WpIG, ZAG or KAGB, as applicable;
- Supervision (Prohibition, special representative, BaFin-investigations);
- Intermediary regulation, including insurance intermediaries and advisers (section 34d GewO), financial investment brokers (34f), fee-based financial investment advisers (34h) and mortgage credit intermediaries (34i), subject to the applicable scope and exceptions;
- Capital market Law;
- Corporate financing, such as bank finance (credit rights and credit agreements, guarantee law, mortgage law, loan securities rights);
- Equity capital financing (corporation law, stock corporation law, LLC law, Limited-partnership law);
- Mezzanine-financing (corporate bonds, participation rights, silent participation);
- Prospectus Law (prospectus requirements, prospectus permissions, prospectus liability).
Compensation for investors of the Capital Market products
Capital investments do not always hold as it was promised to the investors. Anyone willing to claim a loss as compensation or a misleading counselling must have to act before the end of the limitation period. We analyse each singular case, and do not work with standardized letters or typesetting. If you wish a consultation with one of our experts, you will receive an assessment of your personal success prospect from us.
