Supervisory Law

Advice on the obligation to obtain permission from the authorities

I advise domestic and foreign clients comprehensively on the subject of official permit requirements for an intended business activity. A business activity that is conducted without the appropriate permit from the competent supervisory authority is usually immediately prohibited by the supervisory authority and ordered to be reversed. Depending on the nature of the business activity, more than one permit may be required.

Representation vis-à-vis regulatory measures

In the event that a supervisory authority has either concrete indications or even a (well-founded) suspicion, the supervisory authority has a wide range of options at its disposal. For example, notices can be published to warn against certain providers, which usually cause considerable reputational damage, up to ordering the cessation of business operations and reversal, which usually results in the insolvency of the issuer. Furthermore, the supervisory authorities have extensive rights to information and disclosure, some of which go beyond the rights of the public prosecutor’s office. In the event that proceedings are initiated or threatened, competent legal representation is urgently required.

Capital market litigation

Legal representation is required both in the case of regulatory measures and in the case of lawsuits brought by investors. Claims for damages can also arise within organizations from the area of directors’ and officers’ liability. I offer legal representation throughout Germany; in Austria, I consult competent colleagues for legal representation.

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