Supervision of Securities

Therefore, whoever trades with securities should be informed regarding the statutorily standardized boundaries of the trade in securities as well as regarding the duties of disclosure, notification, and publication. We inform you.

The trade of securities in Germany is subject to the supervision of the Federal Financial Services Supervisory Authority (BaFin). Its principal goal is to secure the functional capacity and stability of the entire German financial system. For the protection of the customer and investor, BaFin monitors compliance with the statutory regulations of the securities trade and prosecutes potential offenses.

Therefore, the formulation and layout of the brochure should in no way take place without legal consultation. Heuking Kühn Lüer Wojtek advises a multitude of closed funds and has consulted a number of stock corporations in the course of their initial public offering and in takeovers. We possess extensive experience in the conception and formulation of brochures.As the law surrounding the trade of securities is increasingly affected by international standards and is therefore more frequently the subject of reform, a permanent need for updated information exists for all participants in the trade of securities in respect to the respectively applicable law. Continuing consultation is essential.

The following Practice Groups are dedicated primarily to the field Supervision of Securities

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