Investment funds and capital market regulations

We offer complete legal services to entities operating in capital market sector. Our legal advisory services are addressed for instance to investment funds, investment fund societies and investment firms, including also those operating in new technologies sector (FinTech).

 

RKKW Law Firm experts are distinguished by a long-term practical experience covering services provided to supervised entities, including investment fund societies, investment funds, alternative investment companies (ASI and ZASI), investment firms and cooperating entities, i.e. banks and payment institutions.

 

Thanks to extensive experience and perfect knowledge of the mechanisms regulating the capital market, we provide support in legal and business aspects.

Thorough knowledge of our team allows us to provide capital market entities with efficient services. We offer all-inclusive support, guaranteeing assistance in day-to-day activities, and in strategic decision making.

Main fields of activity:

  • Legal consultancy in establishing and operation of capital market entities, including representation of the clients in administrative procedure to obtain authorizations to commence or extend operation of investment fund societies, alternative investment companies (ASI), investment firms and distributors of participation units in investment funds;
  • Representation of capital market entities in proceedings held before public administration organs in matters related to administrative sanctions as well as in cases concerning compensation of harm caused by unlawful administrative decisions;
  • Legal assistance related to beginning of cross-border activity by Polish and foreign capital market entities;
  • Legal services provided to capital market entities, including current counselling to investment fund societies and entities engaging in brokerage operations, in reference to disclosure obligations they fulfil, creating internal regulations, compliance and any other current activities;
  • Comprehensive support in implementing legal regulations; our team has a broad knowledge and experience related to implementation of such regulations as MiFID II, UCITS/ZAFI, MAR, EMIR or AML;
  • Preparation of legal expert reports and opinions on financial instruments law and operations of financial institutions on the capital market;
  • Legal assistance provided to capital and financial market entities covering transactions made as part of their operations (for example: contracts based on ISDA standard, brokerage contracts and distributor agreements).

Specializations