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.

Emissions 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

The financial markets are subjected to a consistent regulation. Accordingly, corporate financing across the capital market requires numerous regulatory approvals or permits.

However, capital-based forms of corporate finance still play an important role. Although stocks, bonds issued, debt securities or fund shares are subjected to strict regulations in the capital markets, their importance continues to increase. We are experts in corporate market law, stock corporations law, Securities Trading Act (WpHG in German), German Security Acquisition and Takeover Act (WpÜG in German), Securities Prospectus Act (WpPG), and in the Investment Act (InvG).

In accordance to these topics, we also work on:

• Authorization requirements according to KWG or ZAG (Financial Institutions, financial services, payment services);
• Supervision (Prohibition, special representative, BaFin-investigations);
• Mediator rights (financial brokers, insurance intermediaries, insurance advisors, financial assets intermediary, § 34c, 34f GewO-Trade Regulations);
• 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.