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Financial Services / Securities Trading

In the area of financial sales and securities trading, we support you in all questions concerning the distribution and trading of financial products. The legal basis is mainly the provisions of the MiFID I and II Directive, UCITS and AIFM directives. This includes the following topics:

  • Customer documentation according to the German Securities Trading Act (WpHG) and BaFin’s Minimum Requirements for the Compliance Function and Additional Requirements Governing Rules of Conduct, Organisation and Transparency (MaComp) and in relation to financial intermediaries according to the Regulation governing Financial Investments (FinVermV) (customer categorization, minutes of the consultation, investment advice and asset management agreements, disclosure of third party benefits)
  • Conflict of Interest Policy,
  • Best Execution Policy,
  • Customer reporting,
  • Distribution agreements between product manufacturers and sales units (banks, fund platforms, brokers, etc.),
  • Tied agent contracts pursuant to section 2 (10) Banking Act (KWG),
  • General terms and conditions for private customers and institutional clients,
  • Insider law, trade bans, market manipulation,
  • Securities settlement, clearing and custody business,
  • EMIR,
  • Trading platforms e.g. stock markets and trading platform constraints, systematic internalisation, transparency in securities trading,
  • Market Making, Designated Sponsoring and
  • High frequency trading, etc.
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