Banking and Capital Market

The banking system and the capital market are subject to a close regulatory regime with the risk of sometimes considerable sanctions. Criminal proceedings in the field of banking and capital market criminal law are characterized by the extensive cooperation of the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, BaFin) and the public prosecution authorities. The information obtained from the supervisory authorities is passed on to investigating authorities, in many cases also by direct criminal complaints filed against company managers. The BaFin investigates and prosecutes administrative offences, for example under the German Securities Trading Act (Wertpapierhandelsgesetz, WpHG), the German Banking Act (Kreditwesengesetz, KWG), and the Payment Services Act (Zahlungsdienstgesetz, ZAG) in its own responsibility as administrative authority. Krause & Kollegen has many years of experience in all areas of banking and capital market criminal law.

• advise and defend individuals and companies in regulatory offence proceedings of BaFin and other supervisory authorities
• advise and defend individuals and companies in banking and capital market-related criminal proceedings
• advise financial institutions and companies on questions of the Money Laundering Act (Geldwäschegesetz, GwG)