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Regulatory Law

FPS has many years of experience with the relevant institutions (Federal Financial Services Regulatory Authority for (BaFin), banking and savings and loan associations) and is intricately familiar with the ins and outs of relevant banking laws and regulations. Our attorneys pay particular attention to building and maintaining constructive relationships with the responsible authorities and with officers and directors of the banks, savings and loan institutions, financial service providers and asset management companies they represent.

Our practice focuses on legal issues arising in connection with institutional management (business licenses, qualifications of managers, revocation of licenses, and other objections), guaranteeing compliance with corporate obligations (steering, monitoring and controlling risk, business organization, outsourcing), prevention of money-laundering and criminal offenses, compliance with requirements for the loan business (disclosure obligations, Minimum Requirements for Risk Management), and measures to manage crises and to secure deposits.

Our attorneys also advise clients in securities trading regulatory matters, advising them on compliance with rules of conduct under §§ 31 et seq.  of the German Securities Trading Act and representing them in related administrative proceedings.