The 2nd edition of the “Capital Market Compliance” handbook has been published: Dr. André-M. Szesny and Dr. Thorsten Kuthe, both Partners at Heuking Kühn Lüer Wojtek, are the editors of the 1,532-page volume. Several authors give a clear overview of capital market law in 33 chapters and assist companies and financial services providers in setting up compliance systems or making them more effective.
The EU MIFID II Directive and the accompanying MIFIR Regulation have once again led to considerable changes in securities law and capital market law. Amendments relating to money laundering, terrorist financing, and data protection were added. All these changes represent major challenges for managers in capital market-oriented companies. The “Capital Market Compliance” handbook offers practical solutions to these issues. To provide readers easy access to the topics that are relevant to them, the handbook’s structure is geared to its target group: issuers, banks, and other financial services providers.
Almost all requirements and prohibitions in capital market laws are sanctioned with fines or imprisonment. The authors therefore devote a separate section to aspects relating to criminal laws and fines, thus linking capital market compliance to criminal compliance.