News 09 Apr. 2024
Curtis Announces New Partners and Counsels Across Offices in Spring 2024
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News 25 Jan. 2024
Counsel Mohannad A. El Murtadi Suleiman Addresses “Africanization” of International Investment Law
Event 18 Aug. 2023
Partner Borzu Sabahi Speaks at FDI Moot Shenzhen
News 25 Jul. 2023
Partner Eric Gilioli Ranked in Top 10 Influential Energy & Natural Resources Lawyers in Kazakhstan in Business Today
Client Alert 28 Dec. 2023
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News 28 Aug. 2024
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Event 22 Aug. 2023
Partner Dr. Claudia Frutos-Peterson to Speak at Arbitration and ADR Commission of the ICC Mexico
News 15 Aug. 2023
Legal Reader Publishes Article on Dr. Majed Alotaibi’s Arrival as Senior Counsel in Curtis’ Riyadh Office
News 31 Jul. 2023
Curtis Welcomes Senior Saudi Advisor, Dr. Majed Alotaibi, to its Riyadh Office
News 24 Aug. 2023
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Client Alert 10 Jul. 2024
EU Adopts New Restrictive Measures Against Belarus
Client Alert 26 Jun. 2024
The EU Adopts its 14th Sanctions Package Against Russia
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Second Circuit Limits U.S.-Based Discovery for ICSID Arbitrations
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Publications 13 May. 2019
In June 2019 German investment brokers and investment advisors, who are currently unregulated and acting under the trade regulation, will become subject to a stricter regulatory regime. These investment brokers and investment advisors are only allowed to broker a restricted product portfolio, mainly shares in funds.
The new regulation mirrors some MiFID II rules (such as the handling of conflicts of interest, telephone taping of investment advice, and suitability tests for investors). At the same time, BaFin will become the newly appointed supervisory authority for these investment brokers. German politics aims at aligning investment brokers acting under the trade regulation and fully licensed investment brokers.
We provide a reading version of the new regulation (FinVermV), which is currently not available in this form elsewhere. If you need to align internal processes with the new regulation you might find our readable version of the regulation’s text helpful. It can be downloaded from our blog. If you have any questions please contact Dr. Verena Ritter-Döring or Charlotte Dreisigacker
Banking and Finance
Investment Management
Frankfurt
+49 69 247 576 0
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