Banking, Debt & Equity Capital Markets Law & Funds
Product development and the preparation of prospectuses for publicly offered securities and investments subject to approval pursuant to the German Securities Prospectus Act (WpPG) and the EU Prospectus Regulations, the German Capital Investment Code (KAGB), the Investment Act (VermAnlG) and the Investment Prospectus Ordinance (VermVerkProspV) are among the expertise of HPL. We accompany through the approval process and represent our clients before the Federal Financial Supervisory Authority (BaFin) and on the basis of the given EU Prospectus Regulations before all other EU financial markets authorities, for example the CSSF in Luxemburg, the FMA in Austria, the Finma in Liechtenstein and the MFSA in Malta. But, we are also represent before the Finma in Switzland. Furthermore, we advise private placement offerings of all kind, including in the USA.
We structure non-approved investments (direct investments, private placements) and create the required documentation (exposé, information memorandum). We offer integrated tax and corporate law as well as regulatory advice regarding the structuring of closed and open funds. In addition to private equity funds and real estate funds, we also structure trading and commodity funds.
We pay special attention to innovative tax-optimized (cross-border) fund structures. A simple and cost-effective implementation of the fund concept is important to us. Our professionally qualified consultants also assist in the selection of sales partners and trustees as well as an investor-friendly presentation of the investment concept.
Our lawyers advise national and international investors, banks and companies comprehensively on all issues of public and private banking and finance law.
Preparation of prospectuses for the public offer of securities in the EU as well as of offers under the respective private placement regimes in all jurisdictions worldwide including the US
Preparation of Company & Trust Contracts
Checking the Sales Documents
Creation of Tax Assessments
Preparation of assessments according to the IDW S4 standard (in cooperation with qualified accountants)
Coordination processes with the Federal Financial Supervisory Authority and other financial market supervisory authorities
Application according to the German Securities Prospectus Act (WpPG), the Capital Investment Code (KAGB), the German Banking Act (KWG) and the German Investment Products Act (VermAnlG)
Settlement / Exit of Fund Products
Advice on Banking Supervisory Issues