Kompetenzen

Kronsteyn advises securities trading institutes in connection with securities trading and securities services. Some typical services are listed below: Advice on general regulatory requirements under national and European law such as the KWG, WpIG and WpHG as well as regulatory specifications such as MaRisk and MaComp Preparation and review of general terms and conditions and other contractual documents for private clients, professional clients and eligible counterparties Advice on money laundering requirements, preparation and review of risk analyzes and AML/CTF manuals Advice on own funds requirements according to the CRR and IFR as well as structuring planning Advice on issues relating to internal remuneration models and guidelines Representation in administrative proceedings before BaFin as well as administrative court proceedings and proceedings before stock exchange sanctions committees Support during special regulatory audits Examination of whether business models require authorization and coordination with supervisory authorities, implementation of authorization procedures Advice on sanctions and embargo law Advice on questions of market manipulation and insider trading law Advice on regulatory-driven group structuring and outsourcing Advice on mutual cooperation (e.g. outsourcing and white labeling models) Advice on the implementation of data protection and IT security requirements

KRONSTEYN advises institutions on market infrastructure and custody. Some typical services are listed below: Advice on general regulatory requirements under national and European law such as KWG, DepotG, MiFIR, EMIR and CSDR as well as regulatory specifications such as MaDepot Conceptual design of trading and settlement structures and creation of required contract documents and stock exchange legal texts Representation in administrative proceedings against BaFin and administrative court proceedings Support during special regulatory audits Examination of whether business models require authorization and coordination with supervisory authorities Advice on sanctions and embargo law Advice on questions of market manipulation and insider trading law Advising data delivery service providers on legal issues related to Approved Release Schemes (APA), Consolidated Tapes (CTP) and Approved Reporting Mechanisms (ARM) Advice on regulatory-driven group structuring and outsourcing Advice on mutual cooperation (e.g. outsourcing and white labeling models)

KRONSTEYN advises banks and payment institutions on banking transactions and payment services. Some typical services are listed below: Advice on general regulatory requirements under national and European law such as the KWG and ZAG as well as regulatory specifications such as MaRisk and MaComp Drafting and reviewing general terms and conditions and other contractual documents for private clients, professional clients and eligible counterparties Advice on current case law, for example on remuneration issues Advice on money laundering requirements, preparation and review of risk analyzes and AML/CTF manuals Advice on own funds requirements according to the CRR or ZIEV Advice on issues relating to internal remuneration models and guidelines Representation in administrative proceedings against BaFin and administrative court proceedings Support during special regulatory audits Examination of whether business models require authorization and coordination with supervisory authorities, implementation of authorization procedures Advice on sanctions and embargo law Advice on regulatory-driven group structuring and outsourcing Advice on mutual cooperation (e.g. outsourcing and white labeling models) Advice on the implementation of data protection and IT security requirements

KRONSTEYN advises institutions in connection with the trading and custody of cryptocurrencies and securities. Some typical services are listed below: Advice on general regulatory requirements under national and European law such as the KWG, WpIG and eWpG Conception of business models for trading and custody of cryptocurrencies and crypto securities Creation and review of general terms and conditions and other contract documents for private customers and institutional customers Regulatory Opinion on Cryptocurrencies and Other Cryptotokens Examination of whether business models require authorization and coordination with supervisory authorities, implementation of authorization procedures

KRONSTEYN advises fund initiators and brokers on the initiation and management of funds as well as fund distribution. The range of services includes: Advice on general regulatory requirements under national and European law such as KAGB, VermAnlG, WpHG and GewO Conception of AIF and investments as well as preparation of sales documents for those subject to a prospectus (sales prospectus, WAI, VIB) Conception of prospectus-free crowdfunding offers according to the EU crowdfunding regulation and the VermAnlG Supervision of approval and licensing procedures before BaFin Representation in administrative proceedings against BaFin and administrative court proceedings Review of marketing communications for regulatory compliance Creation of sales and commission agreements Advice on money laundering requirements in sales, preparation of risk analyzes and AML/CTF manuals Representation in civil court proceedings to defend against investor lawsuits Advice on cross-border fund sales