Capital Markets & Financial Regulation
Capital Markets as a de facto autonomous legal field of corporate law constitutes a significant part of our team’s practice. It is predominantly addressed to listed companies and MiFID regulated investment firms. Our specialists have deep experience at a practical engagement level providing advice on various issues related to HCMC compliance regulations, day-to-day company operation, shareholders relations, corporate governance rules and MiFID regulatory obligations. Our clients include regulated firms, investment firms, mutual funds and REITs operating in the Greek and EU capital markets.
Our specialists’ deep knowledge of the market and long experience enables us to provide advice to listed companies and other entities in relation to issues covering the whole spectrum of capital markets sector such as exceeding notification thresholds, acquisitions of qualifying holdings in listed companies, public tender offers, squeeze-out and reverse squeeze-out processes, issuance of private bond programs, preparing and implementing systems for supervising the legal compliance of activities, systems for internal control, risk management and audit systems, including developing regulations and creating audit committees.
Our services in the area of Forex focus on the full preparation of the business set up for investment firms and banks, including advising on template contracts with Introducing Brokers (IBs), Payment Solution Providers and White Label contracts, as well as advising on introducing Forex market models such as Market Maker, Electronic Communication Networks (ECNs), Straight Through Processing (STP) and new types of portfolio management investment services such as social trading, mirror trading and algorithmic trading. Our team is also involved in the file preparation process regarding passporting investment services in EEA countries. Through our continuous involvement with the Forex market and our cooperation with leaders of the Greek market, we are able to provide tested business solutions.