Since its formation as a Rechtsanwaltsgesellschaft mbH in 2010, FF FinanzRecht® has advised national and international private and corporate clients, with a particular focus on advising members of governing bodies — that is, management board members and supervisory board members of financial services undertakings.
Our advice on questions of compliance covers, among other matters:
- regulation under anti-money laundering law, and questions concerning the rules governing the Transparency Register;
- questions of sanctions law under U.S., EU and further national provisions;
- questions at the intersection of compliance and banking supervisory law, for example special audits pursuant to section 44 of the German Banking Act (KWG);
- questions concerning BaFin investigations into deficiencies in business organisation pursuant to section 25a KWG;
- questions concerning insider dealing offences — Articles 8 and 14 MAR, sections 119(3) and 120(14) of the German Securities Trading Act (WpHG);
- questions of securities law: breaches of major holdings transparency — sections 33 et seq. WpHG. The notification thresholds at 3, 5, 10, 15, 20, 25, 30, 50 and 75 per cent of voting rights, supplemented by instruments under section 38 WpHG and aggregation under section 34 WpHG. Subject to sanction under section 120(2) WpHG and flanked by the loss of rights under section 44 WpHG;
- questions surrounding market manipulation — the trade-based variant (wash trades, matched orders, marking the close) and the information-based variant (dissemination of false or misleading information, scalping), prosecuted as a criminal offence under section 119 WpHG where an effect on the price occurs, or as an administrative offence where this cannot be established.
