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Compliance im Wertpapierdienstleistungskonzern

Compliance im Wertpapierdienstleistungskonzern


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About the Book

Kredit- und Finanzdienstleistungsinstitute trifft nach § 33 Abs. 1 WpHG die kapitalmarktrechtliche Verpflichtung, durch präventive Maßnahmen sicherzustellen, dass die Gesetze, Regeln und Usancen im Wertpapiergeschäft eingehalten, insbesondere Interessenkonflikte vermieden und Insiderinformationen nicht unlauter verwendet werden - zusammengefaßt 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 Präventivmaßnahmen? 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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Product Details
  • ISBN-13: 9783899490466
  • Publisher: De Gruyter
  • Publisher Imprint: de Gruyter
  • Height: 234 mm
  • No of Pages: 357
  • Series Title: Schriftenreihe Der Bankrechtlichen Vereinigung
  • Weight: 730 gr
  • ISBN-10: 3899490460
  • Publisher Date: 16 Apr 2003
  • Binding: Hardback
  • Language: German
  • Returnable: Y
  • Spine Width: 21 mm
  • Width: 156 mm


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