Banking and Capital Market
Long-standing experience
Issuers have been entrusting us with the legal and tax conception of their capital market products for 20 years, whether it be individual investments, private placements, investments, KAGB (German Capital Investment Code) investment assets, crowdfunding projects or much more.
An eye for detail – and a complete overview
We not only provide the appropriate legal framework for the projects, we often also take over the entire preparation of financial statements and thus the heart of the project, including tax implications. This makes us far more than just a contractual supplier for our clients, but a valued sparring partner in the development of sophisticated financial products.
In dialogue with supervisory authorities
We know about the long arm of legislators and supervisory authorities. For this reason, we seek early dialogue with the responsible supervisory authorities on critical issues. After all, delays and nasty surprises can be avoided by clarifying things in advance.
Prepared to fight, if it comes to it
Our many years of experience in the conception of investment products is probably the reason why clients keep commissioning us, even if their investment did not go as expected. These are often providers and sales partners but are often also investors and institutional investors. We have an inside view of such investment products and thus know the arguments of both sides.
The long view
Together with our network partner c3 fonds.concept, we offer long-term support for investment products with the assumption of trusteeships, ongoing tax advice and auditing.
Contact
+49 (0) 40 357 662 0
Volkhard Neumann
neumann@hanselaw.de
Norbert Gnosa
gnosa@hanselaw.de
Confusing diversity
Investment of assets, investment funds pursuant to the KAGB (German Capital Investment Code) or securities? Prospectus requirement or exemption? Approvals required – or not?
Over the last 20 years, legislators have created a confusing variety of regulations that can get even professionals into hot water. Our capital market specialists keep an overview and will find the right variant.
Conception
We support the conception from a legal and tax point of view, because they both always have an influence on each other. In doing so, we often crunch all the numbers and also build complex calculation tools. This way, we get to know the projects inside out, recognise critical processes at an early stage and can point out alternatives.
Once the desired structure is in place, we draw up all the necessary contracts and put everything together to make the project a success.
Prospectus
Sales prospectuses are made for investors. Therefore, they must be understandable. We know how to present your project so that investors will really understand it. Only then will they trust you – and invest accordingly.
However, sales prospectuses are also read by lawyers; usually years later, when something did not turn out as expected. And this is why we ensure that every sales prospectus contains all the necessary information so that nothing goes wrong, even when it is read by lawyers on the other side.
We coordinate the content with the Federal Financial Supervisory Authority and support our clients with the approval procedure.
Complete documentation
In parallel, we also take over production of all other necessary documents, no matter whether these are called WAI [capital investment information sheets], VIB [securities information sheets], KIDs or otherwise.
Contact
+49 (0) 40 357 662 0
Volkhard Neumann
neumann@hanselaw.de
Jens Marchand
marchand@hanselaw.de
The old world becomes the new world
In recent years, no industry has had to struggle with so many prejudices as the financial sales industry. Often justifiably so. The days of the grey capital market's old financial jugglers have long been numbered.
Clear structures, reliable documentation
We advise issuing houses, sales organisations, investment advisors and brokers on the legal and tax requirements of a modern sales structure. We provide advice and support with the preparation of simple and complex sales agreements, consulting documentation and all issues of approval and compliance. Including all MiFID II requirements.
We see this as preventive investor protection because well-advised investors do not have to defend themselves later.
Contact
+49 (0) 40 357 662 0
Volkhard Neumann
neumann@hanselaw.de
Rechtliche Begleitung
Wir begleiten das tägliche Geschäft von Fondsgesellschaften sämtlicher Assetklassen in rechtlichen Angelegenheiten, bei Gesellschafterversammlungen, insbesondere durch aktive Unterstützung in Präsenzversammlungen, und bei der Durchsetzung von Rechtspositionen gegenüber den Vertragspartnern des Fonds.
Vertragsverhandlungen zur Sicherung der Assets
In den vergangenen Jahren haben wir zahlreiche Fondsgesellschaften sanieren und den investierten Anlegern einen Großteil ihrer bereits verloren geglaubten Einlage wieder gesichert. Unser Ansatz ist hierbei an der Entwicklung der Assets des Fonds zu arbeiten, indem wir mit den Vertragspartnern des Fonds – notfalls auch mit gerichtlicher Unterstützung – Verhandlungen hart und fair führen.
Kontakt
+49 (40) 357 66 20
Jens Marchand
marchand@hanselaw.de
Who is obligated
Everyone talks about money laundering prevention, but it still hasn't made it onto everyone's to-do lists. It should, because: the group of obligated parties not only includes banks, but also financial service providers, sales units, estate agents, tax consultants, lawyers and auditors. And this list gets longer with each tightening.
What to do – and how
Together with our clients, we clarify when which obligations exist – and exactly what you have to do.
Analysis and prevention
We prepare individual risk analyses and establish preventive measures in your company. To this end, we provide training within the company and act as external money laundering officers for our clients.
Contact
+49 (0) 40 357 662 0
Volkhard Neumann
neumann@hanselaw.de
Surprised?
Crowdfunding is much more than just startup financing and culture sponsoring. In recent years, crowdfunding has developed into a serious alternative for corporate financing. We advise crowdfunding platforms on the entire legal setup and all ongoing processes. We support companies with the implementation of their campaigns.
Digitisation included
Crowdfunding thinks digitally. Almost all processes are online and largely automated: good conditions for attractive cost structures. We will tell you about which regulatory requirements exist and how to master these.
Financing with built-in extras
Crowdfunding is more than just a financing tool. A successful crowdfunding campaign not only provides a company with its desired liquidity, but also valuable knowledge about customers, their product requirements and their behaviour. You can also use the intelligence of the crowd for your company.
Contact
+49 (0) 40 357 662 0
Volkhard Neumann
neumann@hanselaw.de
Wish versus reality
Capital investments do not always develop as providers or investors would like. Prospectuses are too promising, investment advisers too optimistic or the product does not fit the investor at all. Or none of the above – and yet the desired success still does not come about.
For plaintiffs or defendants in court
Should it come to a dispute, we represent providers and intermediaries or investors and institutional investors in court. For us this is not a contradiction, because there is no black or white. We are often commissioned precisely because we also know the other side of the coin.
We do not view litigation as mass production, but as individual legal advice, because a successful argument can be made only by paying due attention to the individual case. We represent providers and investment advisers in the same way, because not every bad investment is a liability case.
Or quickly and silently
In suitable cases, Hanselaw's commercial mediators accompany you through a mediation procedure and support you with the creation of individual, cost-effective and fast conflict solutions.
Contact
+49 (0) 40 357 662 0
Volkhard Neumann
neumann@hanselaw.de
Nobert Gnosa
gnosa@hanselaw.de
Jens Marchand
marchand@hanselaw.de
Partner
Solicitor
Specialist Solicitor for Banking Law and Capital Market Law
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Partner
Solicitor
Business Mediator, Mediator BM®
Specialist Solicitor for Tax Law
Specialist Solicitor for Banking and Capital Market Law
