Capital markets law compliance
Avoiding breaches of duty, promoting transparency – with clear structures to ensure your compliance.
Compliance with capital markets law obligations is essential for listed companies. We can provide you with comprehensive assistance and efficiently design an effective preventive capital markets compliance system.
-
"Avoiding violations of the law, strengthening trust, practising transparency – that is the triad of modern capital markets compliance."
Partner
Dr Karsten Heider – Partner for stock corporation and capital markets law | CMS -
"We make complexity manageable – with clear structures and practicable solutions for your capital markets compliance."
Partner
Dr Martina Schmid – Partner for stock corporation and capital markets law | CMS -
"Capital markets compliance is more than just following the rules – it is the key to trust, reputation and sustainable success in the capital markets."
Partner
Dominik von Zehmen – Counsel for stock corporation and capital markets law | CMS
Our range of advisory services on capital markets law compliance
- Providing advice on compliance with capital markets law in accordance with the Market Abuse Regulation and the German Securities Trading Act (WpHG) (including ad-hoc and shareholding publicity, insider law, managers' transactions/directors' dealings) and on other disclosure and admission or inclusion obligations of companies on the regulated or over-the-counter market
- Preparing self-exemption resolutions (temporary postponement of the publication of inside information) and ad-hoc notifications
- Analysing and optimising the capital markets compliance system (reviewing and revising guidelines, manuals, templates, instructions, etc.)
- Drawing up a set of internal company guidelines to ensure compliance with capital markets law in accordance with the Market Abuse Regulation and the German Securities Trading Act (WpHG) ("Capital Markets Guidelines") as a compliance system; this is a compendium that includes the key capital markets regulations and internal procedures for the respective listed company and documents the company's organisational and personnel compliance structure; such Capital Markets Guidelines implemented by the company internally not only allow breaches of duty to be avoided preventively; in the event of a breach of duty, they can also act as proof of a compliance system to minimise fines.
Our main areas of expertise in stock corporation and capital markets law
General meetings
Corporate governance – Management board and supervisory board
Capital measures and share buyback programmes
Public M&A, defence, shareholder activism and short attacks
Transactions under stock corporation law
Remuneration of board members and employee incentive plans
Delisting & going private
Structural and integration measures, group law and corporate litigation
Visit our CMS blog for important specialist and background information
Legal experts for Capital markets law compliance
Filter
Local market knowledge. Global outlook
We provide future-facing legal advice to help your organisation thrive. Combining local market knowledge and a global perspective, and with lawyers in locations worldwide, your organisation benefits from the expertise it needs, even across borders.
About CMS