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financial services regulatory
financial services regulatory

Financial Services Regulation

The regulatory environment is characterised by a high volume of regulations which are also highly dynamic. At the same time, cost pressure is increasing. In light of this, efficient advice requires a high degree of specialisation, experience and efficient knowledge management.

As one of the largest regulatory practices in Germany, with an excellent and close-knit network in Europe and across the world and market-leading online knowledge management systems, we are your perfect partner for all questions relating to German and European regulatory law. Moreover, the team also acts as the central point of contact for specific questions regarding the eurozone and provides advice on numerous transactions outside of Germany on specific questions regarding dealings with the ECB.

Our team also benefits from exceptionally close contact with the regulatory authorities.

In addition, we rank among the market leaders in supporting our clients by providing know-how services, in particular by way of our digital RegGateway solution which offers support in terms of horizon scanning and preparing compare versions between existing versions of a law and upcoming drafts. We have also developed our own online solution for your compliance management – we would be happy to discuss it with you!

Our range of advice includes in particular the following:

  • Advising on all aspects of European and German banking and securities regulatory law, in particular the German Banking Act / Capital Requirements Regulation, the German Securities Trading Act / MiFID II, IFD / IFR
  • Providing assistance for AML compliance and general compliance
  • Advising on European and German investment law
  • Advising on voting rights notifications and questions of market abuse
  • Advising in the field of payments, in particular on issues regarding the German Payment Services Supervisory Act / Payment Services Directive
  • Offering training for directors and officers relating to industry-specific requirements
  • Supporting transactions and restructurings in the financial sector and performing the relevant notification procedures (in particular in connection with ownership control proceedings)
  • Supporting licence applications for regulated companies, including the incorporation of new units
  • Representing clients in contentious and non-contentious proceedings with the regulator, including the European Central Bank
  • Supporting clients in consultations with the regulator, including strategic aspects
  • Providing support on questions relating to market infrastructure (EMIR, CSDR, Benchmark Regulation, CRA Regulation)
  • Supporting internal investigations
  • Questions relating to restructuring and winding-up
  • Advising on sector-specific requirements in the case of outsourcing and amending/drafting the relevant documentation

Modular know-how services

Supervisory law has been increasing in complexity for years. This offers opportunities but also presents both financial services providers and law firms with serious challenges. As one of the largest law firms both on a global scale and within Germany, our aim is to make the quality-control and training instruments which we have developed in-house also available to our clients. In this context, we provide our clients with a modular portfolio which can support you in a variety of ways: via our RegGateway, a specially developed online tool, our RegAcademy, which is based on traditional face-to-face events, and our briefings, comprising our regular newsletter and ad hoc updates.

Please do not hesitate to contact us if you are interested in any of our modular know-how services.

Newsletter & Briefings

Newsletter & Briefings

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. In addition, we prepare an overview of articles and court decisions published in German legal journals that are relevant to banking or banking supervisory law (in German language only). Furthermore, we produce detailed briefings to cover key developments in the field of financial regulatory law.
Click here for the current edition of our newsletter >>.

Please contact us if you wish to receive our monthly newsletter and briefings.

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Our RegAcademy consists of two modules:

We offer regular regulatory breakfast briefings to discuss new developments which are relevant to financial institutions as well as an annual basic course in regulatory law.

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With RegGateway we have created an online platform for regulatory law, unique in the German market, to support practitioners in various ways with the implementation and application of European and German financial regulatory law and to serve as your go-to page for all questions in the area of financial regulatory law. Among others, the RegGateway currently includes horizon scanning solutions, automated compare versions of new key financial regulatory acts, a comprehensive inventory of all German and European financial regulatory laws, with the option to create your own legal inventory/obligations register for your institution or department and to link acts with your commentaries as well as a comprehensive MaRisk compliance solution that helps to identify, assess and implement European and German financial regulatory developments of relevance to you.

If you wish to learn more about RegGateway, please feel free to contact us at any time.

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News & insights

Regulatory Monitoring

Publications: 11 JANUARY 2021

Regulatory Monitoring - relevant developments regarding German and European regulatory law

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language.

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Key regulatory topics

Publications: 18 DECEMBER 2020

Key Regulatory Topics: Weekly Update 18 - 23 Dec 2020

Our weekly update on key regulatory topics affecting the financial services sector. If you would like to receive this update by email and be added to our marketing mailing list please contact…

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Birdseye view of road winding through forest

Publications: 07 DECEMBER 2020

ESG and SFDR regulatory developments for funds and asset managers

The European Commission and other bodies continue to press ahead with an ambitious Environmental, Social and Governance (ESG) sustainability agenda, with a number of further initiatives in the…

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Belgian Advertisements Guidance

Publications: 03 DECEMBER 2020

Belgian FSMA consults on draft Q&As regarding advertisements for investment instruments

On 23 November 2020, the Belgian FSMA launched a consultation on its draft Q&As regarding the requirements applicable to advertisements for investment instruments (the Draft Q&As).The Draft Q&As aim…

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