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Compliance im Wertpapierdienstleistungskonzern by Thomas Lösler

Compliance im Wertpapierdienstleistungskonzern

by Thomas Lösler
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Book cover type: Hardcover
  • ISBN13: 9783899490466
  • Binding: Hardcover
  • Subject: N/A
  • Publisher: de Gruyter
  • Publisher Imprint: de Gruyter
  • Publication Date:
  • Pages: 357
  • Original Price: GBP 154.5
  • Language: German
  • Edition: Reprint 2011
  • Item Weight: 681 grams
  • BISAC Subject(s): Corporate

Kredit- und Finanzdienstleistungsinstitute trifft nach 33 Abs. 1 WpHG die kapitalmarktrechtliche Verpflichtung, durch präventive Ma nahmen sicherzustellen, dass die Gesetze, Regeln und Usancen im Wertpapiergeschäft eingehalten, insbesondere Interessenkonflikte vermieden und Insiderinformationen nicht unlauter verwendet werden - zusammengefa t unter dem Begriff Compliance.

Die kapitalmarktrechtlichen Vorgaben werden durch Richtlinien der Bundesanstalt für Finanzdienstleistungsaufsicht konkretisiert und von Regeln anderer Rechtsgebiete, insbesondere aus dem Gesellschafts- und Konzernrecht, ergänzt und überlagert. Das Zusammenwirken der unterschiedlichen Regelungsbereiche und die nur fragmentarische Regelung der Compliance-Pflichten im WpHG werfen für die Unternehmenspraxis zahlreiche komplexe Fragen auf.

Besteht eine Pflicht zu konkreten Präventivma nahmen? Ist die Verantwortung für Compliance delegierbar? Wie ändert sich die Pflichten- und Verantwortungsverteilung in Konzernverhältnissen? Welche Rechtswirkungen entfalten die Elemente einer Compliance-Organisation? Schützen Chinese Walls zivilrechtlich vor umfassender Wissenszurechnung und strafrechtlich vor dem Vorwurf verbotenen Insiderhandels? Unter welchen Voraussetzungen ist Outsourcing von Compliance-Funktionen auf andere Unternehmen zulässig?

Auf diese und weitere Fragen entwickelt der Autor dogmatisch begründete Antworten und unterbreitet grundlegende Vorschläge für die aktuelle Compliance-Praxis.

Das Deutsche Aktieninstitut (DAI) hat die Arbeit mit dem 2. Preis des DAI-Hoschschulpreises 2002 ausgezeichnet.

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