Capital Market Compliance

The purpose of compliance in the scope of capital market law is to assure, in particular, that securities trading regulations are adhered to, such as laws against insider trading and market manipulation as well as the numerous registration and disclosure obligations. In this regard, in recent shareholder complaints, courts are increasingly finding that executive boards are not properly observing disclosure requirements under capital market law due a lack of internal structures in the organization.
Our lawyers offer consulting services to companies focused on capital markets when implementing internal organization and requirement duties for complying with publication regulations (ad hoc publicity, directors' dealings, annual reports, etc.). Only by creating and regularly reviewing a company's internal organization and the manner in which it adapts to what especially for companies focused on the capital market is often subject to extremely dynamic changes, can the risk of shareholders' complaints, regulatory processes or even criminal investigations be reduced to a minimum.

The following Practice Groups are dedicated primarily to the field Capital Market Compliance

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