Capital Markets and Financial Supervision

Flick Gocke Schaumburg regularly provides comprehensive advice for stock-listed companies and their shareholders. Our clients include companies whose shares are admitted to regulated markets or are sold in over-the-counter trading. Together, we create tailor-made solutions, which above all consider the overall interests of the company in addition to specific capital markets law issues.

We assist our clients in public offerings and segment changes, capital increases and other capital measures, and company takeovers. In doing so, our experts always bear in mind the follow-up capital markets law requirements: insider law, reporting obligations and ad-hoc publicity.

Our capital markets law team also has extensive experience of representing companies and shareholders vis-à-vis the German regulatory authority in hearings and investigations, in issuing profit participation certificates and debentures, exchangeable bonds or hybrid loans, in introducing stock-option plans and similar instruments, and in reviewing and coordinating requirements to obtain permission (especially under the German Capital Investment Code, Banking Act, Capital Investment Act and Securities Prospectus Act).

In addition to our knowledge of capital-markets law, we are specialists in bank, stock-exchange, securities and insurance supervisory law.

Our Expertise in Capital Markets and Financial Supervision includes:

  • Public offerings
  • Capital increases
  • Company takeovers
  • Insider law and ad-hoc publicity
  • Representation vis-à-vis the Federal Financial Supervisory Authority
  • Reviewing of licensing obligations under supervisory law (especially the German Capital Investment Code, Banking Act, Capital Investment Act and Securities Prospectus Act)
  • Investment assets and company loans
  • Banking, stock-market, securities and insurance supervision