Past performance is not a guarantee for the future, as I keep writing into fund prospectuses. Still, the following examples of past and current work for clients may give you a flavour of my
advisory topics and experience.
asset management
Advice on Sustainable Finance Disclosure and Taxonomy Regulations
Drafting of prospectus under the EU Money Market Funds Regulation
Advice in respect of the EU Benchmark Regulation
Legal opinion for international asset manager on investor claims and recourse to depositary bank after taxation errors
Restructuring of Riester funds (German pension scheme funds) in respect of the guarantee element
Structuring of JV, negotiation and documentation of German closed-ended hydro-energy fund with institutional and retail tranche, BaFin approval
Legal opinion on performance fee dispute caused by negative interest rates
Advising on distribution options for Cayman AIF into Germany
Legal opinion on novel commission structure for distribution of funds
Drafting and negotiation of all custodian agreements for German AIFM
Conversion of Altersvorsorge-Sondervermögen (German Pension-AIF)
financial services
Advice on CRR-compliant structuring of securitisation of dealer debt for global car manufacturer
Advice on MiFID II und PRIIPs-Regulation for asset managers, MiFID firms and a non-finance company (position limits for commodity derivatives)
Licensing procedure with BaFin and Deutsche Bundesbank for German MiFID firm
Setting up of German branch for UK MiFID firm
Brexit advice to US/UK institution in view of restructuring its licensable business in Germany (subsidiary, branch, tied agent)
Conception and implementation of double structure of tied agent and branch for EU financial institution
Drafting of terms of agreement with success fee for M&A advisory firm
Advising in respect of German EU branch audit by BaFin
Multiple ownership control procedures with BaFin for new shareholders in German regulated entities
payment services and e-money
Structuring of e-commerce platform for digital products integrating a 3rd party PSP
Structuring of distribution models not requiring a money remittance license
Conduct of licensing procedure with BaFin and Deutsche Bundesbank for German acquirer
Conception and clearance with EU regulator of license-free platform for digital in-game items
Distribution concept for tv sport licenses and clearance with the BaFin
Concept and legal opinion for license-free sale of in-game currencies
Advice on payment services aspects for online-lottery
AML compatibility of new sales initiative contemplated by payment services institution
Product and process advice in respect of implementing PSD II
fintech
Advice on Crowdfunding for professional Football clubs
Concept of Robo Advice offering excluding the provision of licensable investment advice
Regulatory review of mobile payment solution for parking fees
investments by insurers
Securitising US property fund for Solvency II investment by German insurance company
Advising EU fund manager on structuring renewable energy fund for non-Solvency II insurers in accordance with the Investment Regulation (Anlageverordnung)