Capital Markets, Banking & Finance

Companies regulated by financial and investment law, parties to complex financing and capital market transactions and (regulated) institutional investors need highly specialised legal and tax advice.

Our “Capital Markets, Banking & Finance” team has great expertise, many years of experience and a profound understanding of the global financial markets.

We are by your side when you are looking for legal advice with regard to financing and capital market transactions, investments in complex investment products, regulatory issues or other aspects of banking, finance and capital markets law. Whether you are a credit institution, financial service provider, investment company, financial investor, (regulated) institutional investor or (listed) company – we always ensure that you reach the best possible solutions.

Our range of advisory services

Our law firm can assist you when issuing bonds and also with other forms of corporate financing via the capital market. Our experienced team can provide comprehensive advice, from structuring through to legal implementation.

Advising on capital market financing through:
- Bonded loans
- European private placements
- Bonds
- Convertible and warrant-linked bonds
- Pre-IPO strategies, strategic equity partners
- Initial public offering (IPO)
Drafting securities prospectuses and/or the legal documentation, providing advice as a transaction lawyer, preparing legal opinions and disclosure opinions, carrying out legal due diligence reviews
Advising on the obligations following listing (EU Market Abuse Regulation (MAR), insider law, ad-hoc publicity, etc.)
Advising on the refinancing of bonds in accordance with the German Bond Act (SchVG)

Contact: Ingo Wegerich

In an ever-changing regulatory environment, it is crucial to always stay updated. We can provide in-depth knowledge of regulatory law and help you ensure that your business practices are in line with current regulations.

Advising on the establishment, acquisition and restructuring of credit institutions, financial services institutions, financial undertakings, payment institutions, e-money institutions, investment management companies and their respective branches and representative offices and their liquidation
Advising on the proper business organisation of institutions and investment management companies, including the requirements for senior managers and administrative or supervisory bodies and the requirements concerning solid remuneration practices
Advising on the outsourcing of activities and processes
Helping clients obtain the authorisations required by regulatory law and advising them on changes to such authorisations
Advising on notifications and obligations to register and on the European Passport needed to provide cross-border services in the financial sector (including trade law)
Advising on regulatory issues with regard to FinTech projects and crypto applications
Providing regulatory consolidation advice
Advising on how to prevent money laundering
Advising on the development, documentation and distribution of financial products, including all pre-contractual and on-going duties to provide and disclose information

Contacts: Rolf Kobabe, Martin Hüwel

Our experts can assist you when setting up and structuring investment funds and when dealing with asset management issues. We can create a legal framework that meets your business requirements.

Advising managers/initiators on the structuring and establishment of alternative investment funds, managed accounts and other investment structures, taking into account investor-related requirements, in particular in the areas of private equity, mezzanine/debt, real estate, renewable energy and infrastructure
Advising (regulated) institutional investors that wish to invest in national and international fund products and other investment products, taking into account German investor-related regulatory (German Insurance Supervision Act (VAG), German Investment Ordinance (AnlV), Solvency II, EU Capital Requirements Regulation (CRR)) and tax requirements, including advising on whether market standards are met
Advising (regulated) investors on how to structure and establish their own investment platforms
Advising managers with regard to activities that require authorisation pursuant to the German Capital Investment Code (KAGB)/German Banking Act (KWG), in a national and multi-jurisdictional context, and carrying out the relevant authorisation procedures (for example, establishing an AIFMD/MiFID branch in Germany); advising on the authorisation of investment management companies and investment corporations and on extending such authorisation
Advising managers with regard to the cross-border management of German funds (in particular, negotiating outsourcing contracts with German investment management companies)
Advising German and foreign investment funds with regard to the German Capital Investment Code (KAGB), including distribution-related issues (EU Alternative Investment Fund Managers Directive (AIFMD)/German Capital Investment Code (KAGB)/EU Markets in Financial Instruments Directive (MiFID)) and distribution notices
Advising on acquisition and investment limits according to the provisions of investment, insurance supervision and tax law
Advising on the (re-)structuring and documentation of regulated and non-regulated funds, including special funds, industry-specific funds and closed-end funds, in Germany and abroad
Advising on distribution notices and/or notification processes
Providing asset management advice
Advising on fund-related capital markets, regulatory, distribution and competition law
Drafting and reviewing the customer documentation and verifying the fulfilment of organisational requirements
Reviewing financial products (specifically for their eligibility as premium reserve fund assets) and structuring financial products
Advising on the packaging/securitisation of funds and on investment strategies regarding structured products

Contacts: Achim Pütz, Martin Hüwel, Rolf Kobabe

Whether you are dealing with loans or with acquisition or real estate financing – we can help you navigate the entire process. Our specialised lawyers can provide tailor-made solutions for complex financing transactions and restructurings.

Providing advice with regard to bilateral loans, club deals and syndicated loans
Advising on bonded loans
Advising on acquisition financing
Advising on corporate financing (corporate loans)
Advising on real estate financing
Providing advice with regard to factoring, leasing and the securitisation of receivables
Providing project financing advice
Advising on the trading of loans (secondary trading) and of distressed and non-performing loans
Providing financial restructuring advice

Contact: Christoph Schauenburg

We are there to assist you with projects with financing requirements. Our project finance experience covers a wide range of industries and ensures you receive comprehensive legal advice.

Carrying out legal and tax due diligence reviews with the project-specific assistance of colleagues from our Luther industry groups (Renewable) Energy, Real Estate & Infrastructure (including telecommunication and broadband expansion) and Mobility & Logistics (in particular in the area of transport and shipping)
Drafting and negotiating term sheets
Drafting and negotiating loan and collateral agreements (including direct contracts) and subordination/inter-creditor agreements
Drafting legal and other expert opinions
Monitoring the fulfilment of the conditions for disbursement
Advising on the syndication of loans and on refinancing transactions
Coordinating projects

Contact: Christoph Schauenburg

We provide comprehensive advice on structured capital market products to ensure you can benefit from innovative financial instruments while keeping the legal risks to a minimum.

Drafting prospectuses and EMTN/debt issuance programmes, base prospectuses for certificates and warrants
Advising on drawings under debt issuance programmes and structuring terms and conditions of issue
Drafting and advising on key information documents for packaged investment products and product information sheets
Advising on how to implement the Markets in Financial Instruments Directive II (MiFID II)
Providing compliance advice with regard to the German Securities Trading Act (WpHG) for structured products and financial instruments (for example, product approval process and definition of the target market)
Advising on the preparation of the documentation for Contracts for Difference (CFDs) for financial intermediaries and end-customers, including the required information about risks
Drafting and advising on distribution agreements

Contact: Ingo Wegerich

Our lawyers are well-versed in bank contract law and provide comprehensive advice on matters pertaining to retail banking. We can help you navigate the legal challenges in the complex world of banking.

Advising on bank contract law, taking into account the requirements of European law, for example:
- Consumer credit law
- Credit security law
- Account management and payment transactions
- Drafting general terms and conditions in the form typically used by banks
- Digitalisation of banking services
- Asset management agreements

Contact: Daniel Latta

In the event of financial disputes, we are committed to defending your interests. Our lawyers are experienced litigators and can represent you in court.

Providing strategic advice and representation to credit institutions in proceedings before state courts and arbitration tribunals in the field of banking and capital markets law
Advising and representing credit institutions in collective proceedings (for example, proceedings under the German Capital Markets Model Case Act (KapMuG), model declaratory action (Musterfeststellungsklage))
Conducting mass proceedings efficiently, using modern Legal Tech solutions
Obtaining instruments to enforce claims
Providing advice and representation in connection with measures of compulsory enforcement

Contact: Daniel Latta

Practice area Complex Disputes >>

Key Contact >>

Key Contact

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Christoph Schauenburg, LL.M. (London)

Partner

T +49 69 27229 24675

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Team Capital Markets, Banking & Finance

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Ofeliia Assa, LL.M., CAIA
Counsel
Frankfurt a.M.

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Nicole Bittlingmayer
Partner
Frankfurt a.M.

Henning Brockhaus
Partner
Frankfurt a.M.

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Prof. Dr Johannes Beermann
Of Counsel
Berlin

Paula Dresler
Associate
Berlin

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Stephan Gittermann
Partner
Frankfurt a.M.

Pia Grahmann
Associate
Frankfurt a.M.

Dr Joachim Heinemann
Partner
Hamburg

Dr Benjamin Hub
Partner
Hamburg

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Martin Hüwel
Partner
Frankfurt a.M., Cologne

Leonie Herwarth von Bittenfeld, LL.B., M.A.
Senior Associate
Frankfurt a.M.

Peter Holan
Associate
Hamburg

Swe Yee Htun
Associate
Yangon

Dr Bela Jansen
Partner
Frankfurt a.M.

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Stefan Jokel
Senior Associate
Frankfurt a.M.

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Thierry Joseph
Senior Associate
Luxembourg

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Dr Andreas Kloyer
Partner
Frankfurt a.M., London

Dr Rolf Kobabe
Partner
Hamburg

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Dr. Daniel Krauspenhaar
Partner
Luxembourg

Philipp Kropatscheck Nguyen, LL.M.
Of Counsel
Singapore

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Erik von Kügelgen
Senior Associate
Cologne

Daniel Latta
Partner
Berlin

Marion Lanne
Counsel
Luxembourg

Lasse Langfeldt, LL.M. (Uppsala), LL.M. (Brussels School of Competition)
Senior Associate
Brussels

Jael Marquardt
Senior Associate
Frankfurt a.M.

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Achim Pütz
Partner
Frankfurt a.M., Cologne

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Dr Marc Peters, LL.M. oec.
Counsel
Cologne

Georgios Patsinaridis
Senior Associate
Luxembourg

Florian Plambeck
Associate
Hamburg

[Translate to English:] Konrad Prokop, LL.M.

Konrad Prokop, LL.M.
Associate
Frankfurt a.M.

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Elena Recklin
Counsel
Frankfurt a.M.

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Senior Associate
Frankfurt a.M.

Janis Rentrop
Associate
Cologne

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Bob Scharfe
Managing Partner Luther S.A.
Luxembourg

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Christoph Schauenburg, LL.M. (London)
Partner
Frankfurt a.M.

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Partner
Hamburg

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Partner
Frankfurt a.M.

Leif Dustin Schneider
Counsel
Ho Chi Minh City

Stefanie Samosny
Senior Associate
Luxembourg

Victoria Schöll
Senior Associate
Frankfurt a.M.

Maryana Slyusarchuk
Associate
Frankfurt a.M.

Dr Jörgen Tielmann, LL.M.
Partner
Hamburg

Volkan Top
Senior Associate
Hamburg

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Dr Eberhard Vetter
Partner
Cologne

Constance Xue Yao Valsemey, LL.M.
Associate
Singapore

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Dr Gregor Wecker
Partner
Cologne

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Jan-Patrik Welter
Senior Associate
Hamburg

Oliver Zaruba
Associate
Frankfurt a.M.

Xinyue Zhu, LL.M.
Business Lawyer
Cologne

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Capital Markets, Banking and Finance