• Practice Areas
  • Sectors
  • Lawyers
  • Notaries

Securities Business and the Sale of Financial Products

The GSK Banking Team's main areas of advice include the securities business as well as questions concerning the sale of financial products.

Here our services extend to, inter alia, the following:

  • Implementing rules and regulations, e.g. the implementation of MiFID (Markets and Financial Instruments Directive) in banks and financial service providers
  • Preparing customer documentation, including advertising and web pages
  • Drafting contracts for financial service providers or family offices, e.g. asset management contracts
  • Advising on and drafting models for a cooperation, e.g. between the investment firm, custodian bank, advisors, instructing master investment firms
  • Developing concepts for liability umbrella companies in the sale of financial products
  • Drafting and tailoring organizational handbooks
  • Drafting marketing contracts
  • Implementation of internal and external training measures
  • Liaising with supervisory authorities such as the German Federal Office for the Supervision of Financial Services (Bundesaufsichtsamt für Finanzdienstleistungsaufsicht – "BaFin”) and the German Federal Bank
  • Assisting with audits of annual accounts and audits under the Securities Trading Act (WpHG)
  • Representing banks and financial services providers in litigation concerning prospectus liability and the liability of investment advisers (Litigation)