Dr. Andreas Fillmann’s practice focuses on corporate finance, financial regulatory, fintech and compliance, including data protection, banking and capital markets. The quality of his work is consistently mentioned in the JUVE Handbook of German Corporate and Commercial Law Firms and in the Nomos Handbook. Chambers Global has listed Andreas as a Leading Individual for banking and finance matters in Germany since 2012.

    He is a member of the German Blockchain Association, European Finance Association, International Banking Federation, SAFE, International Bankers Forum, Center for International Legal Studies, Deutsches Aktieninstitut and the German and Frankfurt Bar Association. Andreas has advised fintechs, financial institutions and international banks in relation to license applications with the German Federal Financial Supervisory Authority (BaFin).

    Andreas has considerable experience advising on the EU regulatory framework (e.g. GDPR, PSD, EMIR, CRR/CRV, MiFiD/MiFiR) for the financial service industry, and has broad experience in derivatives, including advising a central bank, investment banks and funds on their related derivative activities. In addition, he has advised on a large number of capital markets transactions in relation to both equity and debt finance, including primary and secondary stock placements and the issue of stand-alone and structured bonds, Schuldscheine, and medium-term notes (MTNs). He has advised on a wide range of financial services policy and compliance matters relating to risk management, payment and clearing and data protection.

    Prior to joining the firm, he was a partner at a major US-based law firm, where he advised on a broad range of capital markets, bank insolvency and bank regulatory matters. Before that, Andreas led the legal department at the Bank of Tokyo-Mitsubishi subsidiary and branch in Frankfurt, where he advised the bank in a broad range of corporate, bank regulatory, finance and capital market matters.

    Andreas is the author of several articles on bank finance and capital markets-related issues and a speaker at numerous legal and industry conferences in Germany and abroad.

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    • Advice to a US bank for transactions related to mobile payment services.
    • Advising a US client in respect of setting up a cryptocurrency exchange.
    • Advice provided to various start-ups in legal structuring of funding, in particular via ICO and/or crowdfunding, including setting up corporate structure.
    • Setting up a company for cryptocurrency-related trading services and provided AML advice for its activities.
    • Advising various companies in the financial, energy and telecommunication sectors, which are bound by tight regulatory regimes.
    • Advising real estate funds in relation to fund structuring, funding, investors and related investments.
    • Advising banks, financial institutions, insurance companies and fintechs on various financial regulatory aspects including data protection compliance.
    • Advising fintechs regarding legal aspects of cryptocurrencies and blockchain.
    • Advising international operating companies on trade sanctions, data protection, compliance and other regulatory issues.
    • Advising banks, financial institutions and investment funds seated in Germany regarding international, EU and national financial regulatory matters (e.g., EMIR, MiFiDII/MiFIR, PSD II, CRR).
    • Advising a financial institutions, payment service providers and fintechs on various commercial, regulatory and compliance aspects.
    • Advising investment funds, banks, financial institutions and insurance companies of Brexit-related aspects.
    • Advising banks, central banks and companies on various derivative transactions.
    • Advising various types of third country, European and domestic investment funds in Germany regarding regulatory matters, investment management agreements and fund distribution.
    • Advising an Ireland-based hedge fund on the listing of its prospectus with Germany’s Federal Financial Supervisory Authority (BaFin).
    • Advising US-based investment and hedge funds on innovative swap structures based on distressed loan portfolios.
    • Advising a France-based bank on an asset-backed securitization.
    • Advising various types of investment funds in Germany regarding regulatory matters, investment management agreements and fund distribution.
    • Advising a Vietnam-based bank on license application and other regulatory matters.
    • Advising a Slovak Republic-based company on the issue of a €85 million assignable loan agreement (Schuldscheindarlehen).
    • Advising several UK-based private limited companies regarding their listings of shares in the Open Market segment of the Frankfurt Stock Exchange.
    • Advising an Iceland-based bank in a distressed situation on various banking and capital market matters.
    • Advising a leading US solar panel producer regarding the liquidation of all its European subsidiaries.
    • Advising US-based hedge funds and US investment banks on transactions and purchases of performing and nonperforming loan portfolios.
    • Advising a US-based bank on an acquisition finance transaction.
    • Advising national and international banks on syndicated loans and bond issues.
    • Advising a US-based corporation regarding its project finance transaction in Germany.
    • Advising lenders and banks regarding financing through loans and bonds.
    • Advising the second largest manufacturer of children's footwear in China, on the German capital market issues (prospectus and supplement approval, notification requirements, listing) in relation to its parallel IPO on the Frankfurt and Warsaw stock exchange.
    • Advising a leading manufacturer and supplier of automotive parts for the Chinese market, on the German capital market issues (prospectus and supplement approval, notification requirements, listing) in relation to its parallel IPO on the Frankfurt and Warsaw stock exchanges.

    Education

    • University of Mainz, Ph.D., 1991
    • Higher Regional Court of Koblenz, Second State Examination, 1987
    • University of Mainz, First State Examination, 1984

    Admissions

    • Germany, 1988

    Languages

    • English
    • German
    • Recognized in Chambers Global 2015 and 2016 as a leading international expert on Banking & Finance, USA (Expert based abroad).

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    Publications

    • Author, “Change brings Opportunity: The EU Banking Ecosystem and the Importance of API in Payments and FinTech,” Lawyer, 14 April 2018
    • Co-author, “Understanding FinTech and Banking Law,” Thomson Reuters, 2017/2018 (yearly update).
    • Author. “New Trends to Consider in the Financial Service World,” 2018.
    • Author, “Second Payment Directive and the General Data Protection Regulation.”
    • Co-author, “European Commission Finds Privacy Shield Adequate But Uncertainty Remains,” Lexology, July 2016.
    • Author, “The digital single market: privacy and security to be observed,” Lexology, 2017.
    • Speaker, “FinTech developments in Germany,” Warsaw, Munich and Frankfurt.
    • Co-author, "Understanding FINTECHand Banking Law: A Practical Guide," Thomson Reuters, 2016, update from 2015 and 2016.
    • Author, Banking chapter, Business Transactions in Germany, a comprehensive guide to doing business with an integral member of the world business community, June 2014.
    • Author, “Securities Finance 2016,” Germany chapter, Getting the Deal Through – Securities Finance, May 2016, update from 2015, 2014, 2013 and 2012.
    • Author, “Global Tax Transparency and FATCA Implementation From a German Perspective,” Bloomberg BNA Daily Tax Report, February 2014.
    • Co-author, “Criminal Bribery and Corruption Liability of Companies Under German Law,” Lexology, October 2013.
    • Author, two chapters, Datenschutz in der Bankpraxis, covering the law on data protection within the banking sector in Germany. Chapter one covers rules about data transfer from Germany to third countries and the second chapter covers the impact of the Foreign Account Tax Compliance Act (FATCA) on the banking sector in Germany.
    • FATCA – ein Gesetz, das viele Fragen aufwirft,” Alternative News, February 2012.
    • “New Rules for Major Holdings of Voting Rights in Germany,” Squire Sanders publication, January 2012.
    • Other articles can be found at: http://www.lexology.com/693/author/Andreas_Fillmann/?s=

    Quotes

    • Quoted, “Harnessing the Benefits of Euronext,” Law Times, Vol. 22, No. 67, February 14, 2011.
    • Quoted, “Ziel der AIFM-Richtlinie ist ein verbesserter Schutz gegen systemische Risike,” Hedgework Magazine, February 2011.

    Speaking Engagements

    • Speaker, “Datenschutz in der Energiewirtschaft Europäische und nationale rechtliche Vorgaben,” Veranstaltung, IT-Sicherheit und Datenschutz in Versorgungsunternehmen, Deutscher Verein des Gas- und Wasserfaches – DVGW, June 14, 2016; München; March 1, 2016, Bonn, December 2, 2015; Berlin and other events in 2015 and 2014.
    • Speaker, “Complying with EU Data protection Rules, International Transfer of Personal Data,” Getting the Most Out of Intellectual Property Rights, Center for International Legal Studies, Kitzbühel, Austria, February 1, 2013.
    • Speaker, “EU Data Protection Compliance Trends: What US Companies Need to Know,” webinar, January 30, 2013.
    • Speaker, “Section 1073 of the Dodd-Frank Act,” Thought Leadership Forum BNY Mellon, Frankfurt, November 30, 2012.
    • Speaker, “Cross-Border Data Transfer to Third Countries,” Foreign Banking Association (Auslandsbankenverband), September 26, 2012.
    • Speaker, “Foreign Account Tax Compliance Act (FATCA),” Joint Meeting of the Corporate & Business Law Committee and the Financial Services Committee of the Amerikanischen Handelskammer, Deutschland (AmCham Germany), June 26, 2012.
    • Speaker, “Grenzüberschreitende Datenübermittlung im Konzern” (Cross-border Data Transfer in the Group) and “Datenschutz Versus FATCA” (Data Protection Versus FATCA), Datenschutz im Bankwesen, organized by the Verband der Auslandsbanken (Foreign Banking Association), September 14, 2011.
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