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Capital market criminal law

ECKSTEIN & KOLLEGEN lawyers defend and represent individuals and companies in the area of capital market criminal law.

Capital market criminal law is governed by various laws – the Criminal Code (e.g. capital investment fraud), the Stock Exchange Act (inducement to engage in stock exchange speculation), the Securities Trading Act (insider trading offences, market manipulation), the Banking Act (e.g. conducting unauthorized banking transactions), as well as the Stock Corporation Act and the Commercial Code (accounting offences).

The capital market is closely regulated by these laws and other ordinances, whereby the individual regulations can be highly complex in some areas. Failure to comply with capital market regulations is sanctioned to a considerable extent by criminal or regulatory offences.

The German Federal Financial Supervisory Authority (BaFin) is a specialist authority for monitoring capital market regulations that works closely with law enforcement agencies.

The complexity of the regulations in this area can give the defence the opportunity to refute the accusations at an early stage of the proceedings with a factually and legally well-founded presentation, and in this way achieve a discontinuation of the proceedings. The lawyers of ECKSTEIN & KOLLEGEN advise banks and other financial service providers as well as individuals who are confronted with criminal charges in the course of their professional activities on the capital market.