Expertise

Financial services law

We advise our clients in all matters relating to financial services law. They are active in all sectors involved in financial services (in particular banks, financial services institutions, family offices, FinTechs such as lending platforms and robo-advisors, financial holding companies, financial companies, financial investment brokers, technical service providers).

We particularly specialise in advising on the following areas in financial services law:

  • Preparation and support of licensing procedures
  • Development and structuring of business models to avoid the need for a licence under the respective banking regulations
  • Clarification of technical matters with the Federal Financial Supervisory Authority (BaFin), the Luxembourg Supervisory Authority of the Financial Sector (CSSF) and other supervisory authorities
  • Advice on the implementation of regulatory requirements, in particular on the implementation of MiFID II and other regulatory requirements (e.g. ESG, Prospectus, Compliance, Remuneration policy)
  • Securities regulatory compliance
  • Preparation of organisational handbooks
  • Cooperation between FinTechs and established market participants
  • Design of sales structures and distribution channels
  • Preparation of outsourcing contracts and legal support for outsourcing projects
  • Preparation of contracts, client information and client documentation for financial services (e.g. asset management contracts, MiFID II brochures, declarations of suitability)
  • Legal enforcement or defence of claims for our clients (e.g. liability lawsuits regarding investment advice)

 

Overview