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BaFin Publishes Guidelines for Higher Administrative Fines

Guidelines indicate that violations of the German Securities Trading Act will be sanctioned more rigorously by the German federal financial supervisory authority in the future. Since July 2016, the German federal...more

3/15/2017  /  BaFin , Germany , Investment Funds

Future Marketing Rules for Non-EU Fund Managers in Germany

Germany’s private placement rules for funds will change again. On 19 July, the European Securities and Markets Authority (ESMA) published its advice on applying the Alternative Investment Fund Managers Directive (AIFMD)...more

ESMA Advice on Extending the AIFMD Passport to Non-EU Countries

ESMA sees no significant obstacles to extending the AIFMD passport to nine key countries. The European Securities and Markets Authority (ESMA) has published advice to the European Commission, the European Parliament, and...more

Amendments to the German Voting Rights Notification Rules

New European transparency requirements have been transformed into German law. On 27 November, Germany will implement the Amendment Directive to the Transparency Directive (2013/50/EU, the Amendment Directive). The...more

German Regulator BaFin Opens the Way for Credit Funds in Germany

By changing its administrative practice, the BaFin allows loan origination and loan restructuring by investment funds in Germany. On 12 May, the German Federal Financial Supervisory Authority (BaFin) published changes to...more

German Schuldschein Loans Grow in Popularity

Schuldschein loans, which offer straightforward documentation and easy transferability, are an interesting alternative financing instrument for borrowers and investors. Traditional German debt instruments called...more

Implementing Measures of European Market Infrastructure Regulation Take Effect

New clearing, risk mitigation, and reporting obligations imposed on certain derivative contracts. On 15 March, the first six implementing measures of the European Market Infrastructure Regulation (EMIR) entered into...more

Germany Enacts High-Frequency Trading Act

Act regulates high-frequency trading firms and certain trading activities to address concerns about their potential impact on market stability. On 28 February, the German Parliament (Bundestag) approved the "Act for...more

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