Securities Finance in Germany

    View Author May 2011

    Squire, Sanders & Dempsey European partner Dr. Andreas Fillmann and associate Jörg Uhlmann authored the Germany chapter of the 2011 edition of Getting the Deal Through – Securities Finance, a guide to securities finance laws and regulations for corporate counsel and cross-border legal and business professionals. Following the format adopted throughout the series, in which leading practitioners in each of the 27 jurisdictions featured answer key questions posed by the publishers, Andreas and Jörg provide responses to issues such as:

    • Identifying and describing Germany’s relevant statutes and regulations governing securities offerings
    • Germany’s registration and stock exchange filing process in connection with public offerings of securities
    • What Germany’s laws require for a private placement of securities
    • The instances in which Germany’s laws subject a securities issuer to ongoing reporting obligations
    • Germany’s main rules prohibiting manipulative practices in securities offerings and secondary market transactions

    Andreas and Jörg address current trends, as well as the legal framework, liability and enforcement associated with Germany’s securities finance laws and regulations.

    Reproduced with permission from Law Business Research. This article was first published in Getting the Deal Through – Securities Finance 2011 (published in May 2011; contributing editor: Mark Greene of Cravath Swaine & Moore LLP). For further information please visit