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Precise regulatory expertise for regulated institutions

Who We Are

Regulatory

We support institutions throughout their entire lifecycle – from permitting procedures to crisis situations. We do this hands-on, quickly, and commercially.

Precise regulatory expertise for banks, payment institutions, asset managers, FinTechs and investors

Our range of services

  • Licensing & permits (e.g. KWG, ZAG, KAGB) including business plans, organizational manual, outsourcing concept and dialogue with BaFin/Bundesbank/ECB

  • Crypto-Assets & MiCAR (including CASP licensing, token and wallet services, custody business, interfaces with KWG/ZAG/KAGB)

  • Corporate Governance & Fit and Proper (Board Duties, Remuneration/IVV, Risk and Compliance Functions, MaRisk)

  • Outsourcing/insourcing of critical functions (MaRisk/BAIT, provider due diligence, contracts, exit strategies)

  • Supervisory communication & audits (notifications, authorisation requirements, special audits, SREP topics)

  • Transactions & Owner Control (Section 2c of the German Banking Act), Acquisitions, M&A/JVs in a regulated environment, Portfolio Transfers

  • Business model and product structuring (payment/e-money, credit, custody business, depository functions)

  • Market and infrastructure rules (including EMIR, large exposures, LCR/NSFR, capital requirements)

  • Investment Law/Asset Management (KAGB/AIFM, Depositary/Custodian Bank, Sales & Marketing)

  • IT and resilience requirements (BAIT/VAIT, operational resilience, DORA readiness, incident management)

  • Compliance & Internal Investigations (insider/MAR interfaces, sanctions/embargo screening, AML framework)

  • Enforcement & Defense (supervisory measures, fines, remediation programs)

  • Restructuring & Resolution (SAG/BRRD, Recovery and Resolution Planning, MREL)

  • ESG/Sustainable Finance (SFDR/Taxonomy interfaces, governance and disclosure obligations)

Who we work for

  • Private, Development and Cooperative Banks

  • Foreign Institutes with a connection to Germany,

  • Payment and E-money Institutions

  • Funds/AIFs

  • Asset Managers/Management Companies (AIFMs)

  • Depositaries/Custodian Banks

  • FinTechs/Tech providers

  • Investors and bodies

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Our approach

  • Regulatory expertise . In-depth knowledge of the regulatory landscape and regulatory practices.

  • Transaction and implementation expertise . We build solutions that are operationally viable.

  • Fast & practical . Clear recommendations for action instead of memo overload.

  • Strong interfaces . M&A, financing, data protection/IT, dispute resolution – all from a single source.

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