Competent support with regulatory requirements
The Federal Financial Supervisory Authority (BaFin) regulates and supervises financial service providers, banks, insurances as well as the securities trading in Germany. Companies operating in the regulated financial sector must meet strict legal requirements to avoid legal risks and sanctions. Whether it is about fulfilling reporting obligations, adhering to the Market Abuse Regulation, or the requirements for financial products – precise legal advice is essential to navigate safely in the complex regulatory environment.
The attorneys at MTR Legal support companies, financial service providers, and investors in complying with BaFin regulations. We offer comprehensive advice on all matters of financial supervision and assist with the legal structuring of your businesses. Our goal is to ensure legal security and sustainably secure your business models.
Licensing and regulatory approvals
Compliance and ongoing supervision
Market abuse and insider trading
Disputes and legal remedy procedures
5000+
Mandates
Team
Experienced Attorneys
Global
Operating Internationally
8
Offices
Take advantage of our expertise in the BaFin area and book a consulting appointment to professionally clarify your concerns.
Legally secure basis for your business activities
Companies wishing to provide regulated financial services require a permit from BaFin. The licensing process is complex and involves checking the company’s structure, financial resources, and the qualifications of the management team. Mistakes or incomplete applications can significantly delay or even jeopardize the approval.
MTR Legal advises you on applying for BaFin licenses and permits. We review your business models for regulatory requirements, assist you in preparing the application documents, and guide you through the entire process. With our expertise, we ensure that your business is legally sound from the start.
Secure implementation of regulatory requirements
Compliance with BaFin’s regulatory requirements is crucial for financial service providers to avoid fines, sanctions, or license revocation. Key obligations include adherence to the Market Abuse Regulation (MAR), implementation of anti-money laundering measures, and proper reporting to BaFin.
The law firm MTR Legal supports you in developing and implementing an effective compliance management system. We review your internal processes for regulatory compliance, advise on specific obligations, and assist you during regulatory audits. With our help, you ensure compliance with all legal requirements, protecting your company from legal and financial risks.
Berlin
Cologne
Hamburg
Düsseldorf
Frankfurt
Munich
Stuttgart
Bonn
Legal design and review of innovative products
The development and distribution of financial products are subject to strict regulatory requirements of BaFin. Whether they are securities, funds, cryptocurrencies, or other investment products – compliance with legal regulations is crucial to avoid legal conflicts and sanctions.
MTR Legal advises you on the legal design and review of your financial products. We assist you in preparing prospectuses, check compliance with disclosure obligations, and accompany you in coordination with BaFin. Our focus is on making your products legally secure and marketable.
Effective representation in audits and conflicts
BaFin audits are a central component of oversight and can have significant legal consequences if deficiencies are found. Furthermore, conflicts with BaFin may arise regarding approvals or sanctions. Professional legal representation is crucial to safeguard your rights and avoid negative consequences.
The lawyers at MTR Legal accompany you in BaFin audits and represent your interests in regulatory disputes. We review the legality of audit measures, support you in communication with BaFin, and strive for an amicable resolution. Should there be proceedings, we vigorously represent you before the competent courts.
Book your consultation – choose your preferred date online or give us a call.
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