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Klaus Lackhoff - Banking Supervision and COVID-19

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Klaus Lackhoff (ed.)

Banking Supervision and COVID-19

Series: Beck International

Volume 2021

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III. Compatibility of public investment with resolution regime S. 226-230

„… investment with resolution regime 1. Conditions for resolution: Failing or likely to fail? 31 As a general …” „… resolution regime is consistent with State aid rules. This means that any public investment which does not …” „… constitute State aid, because, for instance, the public investment is made pari passu with private …”

III. Compatibility of public investment with State aid rules and conditionality S. 221-226

„… funds (cf. Article 72 CRR). III. Compatibility of public investment with State aid rules and …” „… during the 2008 financial crisis have undoubtedly informed the framework of public investment and its …” „… institutions and investment firms (BRRD). 4 Regulation (EU) No 806/2014 of the European Parliament and of the …”

II. Addressing the impact of the COVID-19 pandemic on the solvency of banks S. 220-221

„… capital base 5 a) Public investment as source of funding. In circumstances where a bank cannot raise the …” „… capital required from private sources, it may seek public investment to strengthen its capital base. In …” „… this case various forms of public investments have to be distinguished in order to determine whether or …”

I. Introduction S. 219-220

„… capital injections can be covered by private sources. In case public investments in banks will become …” „… necessary, those investments will have to be assessed against the applicable State aid rules and the …” „… instruments of funding to strengthen the capital base 5 a) Public investment as source of funding. In …”

III. COVID-19 driven supervisory measures taken by Banco de España S. 162-165

„… , public health and public security (the Screening Mechanism). 94 Investments which fall within the scope …” „… of the Screening Mechanism are investments in specific critical infrastructures (i) which are equal …” „… investments subject to it92. Without the required prior authorisation, the investment will be considered null …”

II. COVID-19 driven legislative measures implemented relevant for banks S. 149-162

„… , suspended from 18 March 2020 the deregulated regime for certain foreign direct investments in specific …” „… ) by introducing of a new screening mechanism for certain investments90 85 Regulation (EU) No 575/2013 …” „… institutions and investment firms. 86 https://ec.europa.eu/competition/state_aid/cases …”

III. Supervisory measures adopted by the Bank of Italy to confront the pandemic S. 135-145

„… securities investment companies (Società di Intermediazione Mobiliare – SIMs), and the ICAAP for non-bank …” „… management companies (Società di Gestione del Risparmio – SGRs), investment companies with fixed capital …” „… (Società di Investimento a Capitale Fisso – SICAFs), investment companies with variable capital (Società di …”

Titelei/Inhaltsverzeichnis

„… ................................. 220 a) Public investment as source of funding …” „… ......................................................... 221 III. Compatibility of public investment with State aid rules and conditionality …” „… ................................................................................. 223 a) No‐aid investment – pari passu on market terms …”

II. Purposes pursued by the dividend recommendation S. 43-48

„… prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and …” „… strategies see shareholders as the equity investment remuneration recipients, while micro-prudential …” „… regulators, in turn, may look at them as equity investment providers37. “The risk of insolvency for a bank is …”

II. Relations with the ACPR S. 100-104

„… requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012, OJ L 176 …” „… investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC, OJ L 176 …” „… Both authorities have identified some questionable marketing activities on risky investments in false …”

III. Upcoming challenges for the European banking industry in the long-run S. 203-216

„… /investments-into-fintech-companies-globally/. 61 de Guindos, Euro area banking sector – current challenges, Keynote speech of Luis de Guindos …” „… investments in FinTech companies has increased almost six-fold over the period 2013-18, illustrating the …” „… traditional banks’ business models put to the test. The resulting higher competition in lending, investments …”

II. Italy’s legislative provisions on banking supervision in response to the Corona crisis S. 131-135

„… expanded its own powers of control over foreign direct investment in strategic industries, including credit …” „… – the so-called “golden powers” – on foreign direct investment in certain strategic industries …” „… aggregate value of the investment is at least equal to 1 million euros), or (b) exceeding 15 %, 20 %, 25 …”

II. Description of the pre-existing (Capital Requirements Regulation) CRR regime and the Commission proposal for quick fixes S. 7-15

„… prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 …” „… requirements of investment firms and amending Regulations (EU) No 1093/2010, (EU) No 575/2013, (EU) No 600/2014 …” „… 575/2013 on prudential requirements for credit institutions and investment firms (OJ L 347, 28.12.2017, p …”

IV. Level of application S. 49-51

„… inadmissible. See Judgement of 12 November 2015, HSH Investment Holdings Coinvest-C and HSH Investment Holdings …”

IV. Conclusion S. 216-219

„… capital injections can be covered by private sources. In case public investments in banks will become …” „… necessary, those investments will have to be assessed against the applicable State aid rules and the …”

III. Overview of the individual changes pronounced for supervision S. 118-128

„… details of the computation of the LCR, shares and units in investment funds (“collective investment …” „… one investor and this investor also sets the fund’s investment policies. This means that to the extent …” „… deteriorate as a 40 The term includes undertakings for the collective investment in transferable securities …”

I. The content of the Dividend Recommendation S. 40-43

„… credit institutions, insurance undertakings and investment firms in a financial conglomerate), is an …” „… credit institutions and the prudential supervision of credit institutions and investment firms, amending …”

V. Fungibility of resources and fragmentation of the playing field S. 172-175

„… include pension funds, insurance firms and investment vehicles of retail investors. 42Finally, looking …” „… appropriate, at sub-consolidated or individual level; – Coverage: Banks, investments firms, insurance and …”

I. Background S. 97-100

„… requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012, OJ L 176 …” „… investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC, OJ L 176 …”

II. General principles S. 238-242

„… supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing …” „… for credit institutions and investment firms and amending Regulation (EU) No 648/2012, OJ L 176, 27 …”

I. Context of the measures S. 7

„… prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 …”

I. Internal models – a short recap S. 74-75

„… models 5The regulatory use of internal models comes with certain additional investments to the …”

I. Executive summary S. 167-168

„… investors who frequently include pension funds, insurance firms and investment vehicles of retail investors …”

I. Introduction S. 130-131

„… expanded its own powers of control over foreign direct investment in strategic industries, including credit …”

IV. Conclusion S. 165-167

„… ) distributions to investors who frequently include pension funds, insurance firms and investment vehicles of …”

II. Oversight of LSIs in general S. 180-181

„… Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and …”

II. Operational relief measures regarding internal models S. 75-77

„… certain additional investments to the institutions as they are required (i) to fulfil additional specific …”

IV. This book S. 4-7

„… for credit institutions and investment firms and amending Regulation (EU) No 648/2012 (OJ L 176 …”

I. Introduction S. 236-238

„… of credit institutions and the prudential supervision of credit institutions and investment firms …”

I. Introduction S. 23-25

„… credit institutions and investment firms and amending Regulation (EU) No 648/2012, OJ L 176, 27.6.2013, p …”

II. Analysis of the supervisory measures taken by the ECB S. 25-34

„… credit institutions and investment firms and amending Regulation (EU) No 648/2012, OJ L 176, 27.6.2013, p …” „… institutions and the prudential supervision of credit institutions and investment firms, amending Directive …”

III. OMT and PSPP as background S. 256-259

„… quality assessment of at least 14 Draghi, Speech at the Global Investment Conference in London on 26 July …”

I. Introduction S. 269-272

„… certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund …”

Index S. 281-284

„… , N 90, N 102, N 120 Foreign Investments Screening Mechanism K 93 et seq Fragmentation L 30-53, L …”

VI. Excursus: Asset relief measures S. 231-236

„… level. The State was charging a market-conform fee to guarantee the investment-grade-rated tranches of …”

IV. Macroeconomic forecasts S. 67-74

„… potentially require costly upfront investments in new systems and processes but […] that the longterm benefit …”

II. The Banking Union-judgement S. 272-278

„… uniform rules and a uniform procedure for the resolution of credit institutions and certain investment …”

III. Measures intending to promote the granting of loans to corporates S. 104-111

„… France, the French public investment bank. 55 Monitoring the outstanding amounts of the loans covered by …”

III. Supervisory and regulatory reliefs in reaction to corona crisis for LSIs S. 181-189

„… prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012 …”

doi.org/10.17104/9783406779282

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Navid Kermani

Morgen ist da

2019

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Dinner-Speak auf der Investment-Konferenz der Flossbach von Storch AG S. 343-369

„… Dinner-Speak auf der Xnvestment-Konferenz 343 Dinner-Speak auf der Investment-Konferenz der …” „… Aufführung von Peter Brook in Paris. Das Investment des närrischen Alten, so könnte man sagen, hat sich …” „… eindeutig aus, welches Opfer – und jedes Investment ist ein Opfer, man gibt etwas von seinem Gut, um etwas …”

Titelei/Inhaltsverzeichnis S. 1-16

„… 2019 343 Dinner-Speak auf der Investment-Konferenz der Flossbach von Storch AG Königswinter …”

doi.org/10.17104/9783406739439

Johannes Bähr, Christopher Kopper - Munich Re

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Johannes Bähr, Christopher Kopper

Munich Re

2016

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11. Foreign Business, Foreign Investments, and the Expectation of War S. 191-210

„… 11. Foreign Business, Foreign Investments, and the Expectation of War 11. Foreign Business …” „… , Foreign Investments, and the Expectation of War Relations to Swiss Re under the Conditions of Foreign …” „… German subsidiar- 11. Foreign Business, Foreign Investments, and the Expectation of War 193 ies.8 …”

Titelei/Inhaltsverzeichnis S. 1-6

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Business Dealings and Investments in Russia, Great Britain, and the U.S. 55 Th e Earthquake of …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . 78 Business Development, Capital Investments, and New Insurance Segments 89 6. Th e First World War …” „… . . . . . . . . . . . . . 176 11. Foreign Business, Foreign Investments, and the Expectation of War …”

15. Rebuilding the Capital Basis: Munich Re and the Consequences of the Currency Reform S. 270-278

„… write off the Reich bonds and Reich treasury notes in its investment portfolio (total value 1947: 87.5 …” „… the total loss of its foreign investments manifested itself in its balance sheets. Th e currency …” „… long-term fi nancial investments in life insurance policies. Th e rather hopeful beginning of the DM era …”

16. New Challenges in the International Reinsurance Business S. 279-303

„… United States Branch Offi ce of Munich Re was by far MR’s largest foreign investment in the 1950s, with …” „… investments and certifi cates of titles to the US Branch in New York in order to be able to prove its …” „… its foreign business of gaining access to closed foreign markets by means of equity investments in …”

5. Munich Re before the First World War S. 78-94

„… Re before the First World War 85 was the stock investments in other insurance companies. Th e …” „… kinds of investments. In 1895 the stock investment prohibition was struck from the statute because it …” „… investments with direct insurers in order to tie them to MR and thus to raise premium revenues. Th e …”

8. “Insurance Has Its Own Economy”: Munich Re in the Great Depression S. 125-144

„… for years and had tried to keep FAVAG afl oat with speculative investments. Neither the supervisory …” „… scandal, the monitoring of the insurance industry and the stipulations concerning investments were …” „… and Allianz had indeed jointly agreed to enter into capital investments with other insurance …”

14. Finding a Way Back into the International Reinsurance Market S. 262-269

„… able to save a 33 % equity investment in Union Rück.1 His letter contradicted the legal authority MR …” „… German capital investment to Swiss and American hands. Although Union Rück had always regarded itself …” „… Grieshaber to save at least a minority stake of 20 % for MR with reference to capital investments of other …”

20. Conclusion S. 362-370

„… numerous countries via capital investments that secured a signifi cant head start for MR. As a risk-taking …” „… investment strategy or be lost due to external shocks. MR’s success story was by no means automatic. Th e …” „… rapid gains, conservative assessments of investments and of its total equity capital became a trademark …”

10. Munich Re in the Economy of the Third Reich: Business Policy, Foreign Currency Restrictions, and Participation in Financing Armaments S. 176-190

„… all, in its foreign investment, with a total worth of 2 million RM.8 Th ere were several reasons for …” „… Reich’s benefi t and fi nance their investments with undistributed profi ts. With the Dividend and Bond …” „… its capital investments; these rose to 19.8 million RM in fi scal year 1940 / 41 and reached 23.2 …”

7. Banned from the World Market: The Development of the Corporation in Central Europe during the Inflation Period S. 103-124

„… were Swiss Re’s lack of investment in numerous direct insurers compared to MR, its much smaller …” „… Verkehrsbank. At the urging of Lebens-Phönix’s board of management, MR raised its capital investment to about …” „… would regularly look over the portfolio of investments on MR premises on a Sunday.63 In late 1926 the …”

12. Occupation Rule and the War Economy: Munich Re in the Europe of the Third Reich S. 211-244

„… continued to cooperate closely in their common investment companies in Warsaw and Bucharest. Th e …” „… . Back in February 1939, it had sold its most important equity investment there, the majority …” „… to push for a takeover. Nonetheless, MR still had an equity investment in a “friendly” insurer in …”

19. The Crises of the 1970s and the Challenges of Modern Risk Management S. 350-361

„… the congruent currency investments of its loss reserves, MR was able to fulfi ll its payment …” „… incoming fl ows of foreign capital investments such as Switzerland and Japan, foreign account holders had …” „… rates was tantamount to slowly eating up one’s assets. Shift ing capital investments to a securities …”

1. Introduction S. 7-12

„… insurer, Munich Re’s capital investments in direct insurers served as an instrument of customer loyalty …” „… the Nazi regime, and how the primacy of fi nancing arms and the war restricted its investment …” „… the fi rm’s investment strategy, which involved investing in fi xed-interest securities in crises of …”

9. The National Socialist Takeover and Munich Re: Business Development, Political Ties, and Management S. 145-175

„… investments from 64.2 million RM (1932 / 33) to 53.1 million RM (1937 / 38). Th e modernization of building …” „… investments in German direct insurers, whose returns from 1933 to 1939 only fl uctuated between 6.1 and 6.9 …” „… %. Higher returns from equity investments compensated for the falling returns from fi xed-rate securities …”

13. Starting Anew under the American Occupation: The Consequences of War and Denazification S. 245-261

„… access to extensive capital investments beyond the insurance sector, a study in the spring of 1945 …” „… allegedly concealed assets included MR’s investments in Pilot Reinsurance Company in New York, El Fénix …” „… Sudamericano in Buenos Aires, and Plus Ultra in Madrid. Th ese investments had, indeed, been in MR’s possession …”

Notes S. 371-437

„… branch in Hartford for the fi re reinsurance business. Mira Wilkins, Th e History of Foreign Investment …” „… . 315. 71 Ibid., p. 81. 72 See Table 7 on p. 93. On the investment in Lebens-Phönix see pp. 90, 196 f …” „… . 108 184). 19 Th is remark pertained to its equity investment in Settentrionale, a transportation …”

18. The Progress of Globalization in the Reinsurance Business S. 313-349

„… subscriptions, MR had already been involved in investments in the nuclear pools in the U.S., Canada, and France …” „… insurance coverage of 200 million DM, an insurance consortium led by Allianz with an investment by MR had …” „… were commercially released, MR expected higher reinsurance investments in the German and American …”

17. Continuity and Change in the “Alzheimer Era” (1950–1968) S. 304-312

„… investments, and informed MR’s supervisory board about the company’s ongoing business development and future …” „… rationalize operations was refl ected as well at MR in the investment in the fi rst electronic mainframe …” „… potentials that required no or only little investment by off ering cash prizes of up to 500 DM for concrete …”

3. Founding and Beginnings of Munich Re S. 24-54

„… Munich Re in 188035 Shareholder Nominal investment in marks Number of shares Freiherr Th eodor von …” „… not allow investments in other insurers, Th ieme and several members of the supervisory board …” „… investment and its fi rst foreign investment.102 In May 1889 in a comprehensive memorandum addressed to the …”

4. Conquering the World Market and the Earthquake of San Francisco S. 55-77

„… Investments in Russia, Great Britain, and the U.S. 4. Conquering the World Market and the Earthquake of San …” „… incorporation, was allowed to make capital investments.8 By 1913, it owned 43.2 % of Pomoschtsch.9 In the …” „… time, MR made an equity investment in an American insurer, the International Insurance Co., New York …”

2. The Beginnings of Reinsurance: The Long Path to Equality S. 13-23

„… good investments for the banks or whether the Central European model of companies engaging …”

List of Primary Sources and Bibliography S. 441-452

„… . Jahrhundert. Münster, 2008. Wilkins, Mira. Th e History of Foreign Investment in the United States to 1914 …”

doi.org/10.17104/9783406698231

Thomas Veith, Christiane Conrads, Florian Hackelberg - ESG and Real Estate

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Thomas Veith, Christiane Conrads, Florian Hackelberg

ESG and Real Estate

2022

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Part I ESG and the real estate market S. 23-236

„… InvestmentThe Principles for Responsible Investment (PRI), a voluntary commitment by com-panies in the financial …” „… investment•Sustainability factors (Art. 2 para. 24)Environmental, social and employee issues, respectfor human rights …” „… affect all sub-sectors of the real estate industry and its entire life and investment cycle. Many of the …”

Part II ESG and regulatory environment S. 237-356

„… , investment processes and new tools for more investment in climate protection. Available at …” „… willingness that exists to incen-tivize these investments. Real estate markets will change accordingly. The EU …” „… framework to facilitate sustainable investment and amending Regulation (EU) 2019/2088«.6.2 Climate risks and …”

Part III ESG and real estate management S. 357-508

„… large investments.Especially the reduction of energy consumption, for example through the use of …” „… UN PRI (Principles for Responsible Investment).houseInvestFig. 13.1: Real estate products with …” „… higher attractiveness of the space, better lettability and, in the best case, higher rents, an investment …”

The authors S. 573-585

„… investments.Alexia Tsiter completed her bachelor’s degree in Human Geography at the Ludwig-Max-imilians-University of …” „… & Investment.Volker WergenVolker Wergen is a lawyer and senior manager in the IP, IT and Data Protection team at PwC …” „… experience in real estate consulting and investment. After his consulting work at pom+Consulting AG, he …”

Titelei/Inhaltsverzeichnis S. 1-14

„… for the entire real estate and investment life cycleHinweis zum Urheberrecht:Alle Inhalte dieses …” „… practical guide for the entire real estate and investment cycle1. EditionIf this publication contains a …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1513.2 Elements of sustainable investment policy and regulation …”

Foreword by the editors S. 17-22

„… Ibid.9 Ibid.10 Catella Group, Market Tracker ESG Investment, 2020 …” „… sector, it has a great influence on long-term CO₂-reducing measures and investments, which are becoming …” „… , particularly financing, construction, and oper-ation but also investment and accounting. The broad …”

Part IV ESG in urban and project development S. 509-570

„… . From 2023 onwards, funding will be provided in each funding area, either as a direct investment grant …” „… investment drivers require that projects consider ESG.ESG is not a defined term. As a start to approach the …” „… qualifies as environmentally sustainable for the purposes of establish-ing the degree to which an investment …”

The editorial team S. 571-572

„… platform with investments in Germany and the United States.At PwC, Thomas Veith advises investors, project …”

Foreword S. 15-16

„… as a capital market investment that supports wealth and performance – but how to deal with …”

doi.org/10.34157/9783648163504

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Dörte Poelzig

Kapitalmarktrecht

Series: Grundrisse des Rechts

Volume 2023

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§ 4. Investmentvermögensanteile iSd § 1 Abs. 1 KAGB S. 52-72

„… In-vestmentvermögen als Investment-AG oder Investment-KG organi-siert ist, § 1 Abs. 11, 12 KAGB. Sondervermögen werden …” „… oder als Investment-aktiengesellschaft („Investment-AG“) mit veränderlichem Kapitalaufgelegt werden …” „… In-vestmentvermögen notwendige Rückgabe der Anteile ermöglichtwerden, die rechtlich in den Aktien an der Investment-AG …”

Sachverzeichnis S. 627-634

„… – materieller 97– EU 111– Hedgefonds 104, 117– inländische 111– Investment-AG 130– mit fixem Kapital 126– mit …” „… veränderlichem Kapital 123– Investment-KG 130– geschlossene 126– offene 125– Leerverkauf 104, 115– Leverage 104 …” „… Interessenkonflikte 829, 883, 945,956Investmentdreieck 128Investmentvermögen– AIF 104, 113– Publikums- 114– Spezial …”

§ 5. Vermögensanlagen iSd § 1 Abs. 2 VermAnlG S. 72-76

„… Investment-vermögen iSd § 1 Abs. 1 KAGB sind. Ausgenommen sind auch Ein-lagengeschäfte iSd § 1 Abs. 1 S. 2 Nr. 1 KWG …” „… Beteiligungstransparenz im Zusammenhang mit Investmentvermö-gen, ZIP 2016, 1612; Eichhorn, Die offene …” „… Investmentkommanditgesellschaftnach dem Kapitalanlagegesetzbuch (Teil I und II), WM 2016, 110 und 145;Freitag, Das Investmentstatut …”

§ 31. Ratingagenturen S. 529-535

„… Regulation) und RL (EU) 2019/2034 (InvestmentFirm Directive) der einheitlichen europäischen Bankenaufsicht …” „… Liquidität. Als systemrelevanteingestufte Wertpapierfirmen sind gemäß VO (EU) 2019/2033 (In-vestment Firm …”

Anhang: Schemata S. 615-627

„… . Anspruchsteller ist nicht mehr Inhaber der Investment-vermögensanteile oder -aktien (§ 306 Abs. 1 S. 2, Abs. 2S. 2 …” „… Anteile/AktienII. Anspruchsteller ist nicht mehr Inhaber der Investment-vermögensanteile (§ 306 Abs. 1 S. 2, Abs. 2 …” „… Inhaber der Investmentvermögensan-teile (§ 306 Abs. 1 S. 1, Abs. 2 S. 1 KAGB)" Erstattung des gezahlten …”

§ 3. Wertpapiere iSd § 2 Abs. 1 WpHG S. 39-52

„… KWG(Aktien, Vermögensanlagen, Schuldtitel, sonstige Rechte, Anteile an Investmentver-mögen …” „… Aktien und Anlei-hen an. Vergleichbar sind vor allem Investment Token,159 da diesedem Inhaber …” „… Utility Token ausnahmsweise als In-vestment anzusehen sind und der Unternehmensfinanzierung die-nen.164 …”

Titelei/Inhaltsverzeichnis

„… offener Investmentvermögen ... 652. Zulässige Rechtsformen geschlossener Investmentver-mögen …” „… ............................ Alternative Investment FundAIFM ........................ Alternative Investment Fund ManagerAktG …” „… . ....................... insbesondereInvAG ....................... InvestmentaktiengesellschaftInvG …”

§ 32. Kapitalmarktaufsichtsrechtliche Durchsetzung S. 535-560

„… Regulation) und RL (EU) 2019/2034 (InvestmentFirm Directive) der einheitlichen europäischen Bankenaufsicht …” „… Liquidität. Als systemrelevanteingestufte Wertpapierfirmen sind gemäß VO (EU) 2019/2033 (In-vestment Firm …”

§ 34. Markets in Crypto-assets Regulation (MiCAR) S. 578-615

„… Aufsichtsbehörden1766durchgesetzt haben. Der dort üblichen Klassifizierung in Invest-ment-, Utility- und …”

§ 11. Spezialgesetzliche Prospektpflichten und -haftung S. 121-177

„… jedenfalls für InvestmentToken ("Rn. 90). Für die Ausgabe von Token, die – wie Currency-Token oder regelmäßig …” „… (Invest-mentvermögensanteile) geregelt sind und jeweils durch eine spezial-gesetzliche Prospekthaftung sowie …”

2. Kapitel: Veröffentlichungspflichten S. 282-344

„… für ein Investment-vermögen (OGAWoder AIF) tätig oder verfügen bei der Zusammen-setzung des Portfolios …” „… be-zogene Finanzinstrumente. Erfasst sind grundsätzlich auch Anteileoder Aktien an Investmentvermögen bzw …” „… an dem Invest-mentvermögen selbst unter den Voraussetzungen des Art. 19 Abs. 1aMAR meldepflichtig …”

3. Kapitel: Sonderrecht der börsennotierten Aktiengesellschaften S. 344-440

§ 1. Definition, Ziele und Aufgaben des Kapitalmarktrechts S. 2-23

„… InvestmentvermögeniSd § 1 Abs. 1 Kapitalanlagegesetzbuch (KAGB), zB Immobilien-fondsanteile, und Vermögensanlagen iSd …” „… Investmentfonds– verfügen im Vergleich zu Privat- oder Kleinanlegern über mehrErfahrung und Finanzkraft und sind …” „… auf. Als Finanzintermediäre agieren auch Kapital-verwaltungsgesellschaften, die Investmentvermögen …”

§ 2. Überblick über die Regeln des Kapitalmarktrechts S. 23-39

„… (KAGB)beinhaltet Vorschriften zur Verwaltung von Investmentvermögen("Rn. 91 ff.). Mit den neuen Vorgaben zum …” „… Wertpapieren(OGAW-RL)75 und die Richtlinie über die Verwalter alternativer In-vestmentfonds (AIFM-RL)76 sowie die …” „… Investmentfonds und zur Änderung der Richtlinien 2003/41/EG und 2009/65/EG und der Verordnungen (EG) Nr. 1060/2009 …”

§ 6. Sonstige Finanzinstrumente S. 76-82

„… wie Versiche-rungen und Investmentfonds handeln mit Derivaten, um sich gegenKursrisiken abzusichern …” „… , Versicherungen und Investmentfonds,220 gehandelt.221 Mit80 2. Teil: Finanzinstrumente als Produkte des …”

§ 8. Private Handelsplätze und OTC-Handel S. 112-116

„… Investmentbanken betriebe-nen Handelsplattformen Chi-X Europe Limited und Turquoise, jeweils mitSitz in London.Das …”

1. Kapitel: Marktmissbrauchsrecht ieS S. 199-282

„… Finanzinstrumenten iSdMAR gehören übertragbare Wertpapiere, Geldmarktinstrumente, In-vestmentvermögensanteile und …” „… Investmentgeschäft) gelangen.734 Außerdem darfdie juristische Person nach Art. 9 Abs. 1 lit. b) MAR die …”

§ 25. Wertpapierdienstleistungsunternehmen S. 442-455

„… Einzelkundenbasis handeln.1444 Damit fällt die Ver-waltung von Investmentvermögen durch …” „… Wertpapierdienstleistungsun-ternehmen, Versicherungsunternehmen, Investmentfonds bzw. Kapitalverwal-tungsgesellschaften iSd KAGB …” „… , dieWeltbank, der Internationale Währungsfonds, die Europäische Zentralbank,die Europäische Investmentbank und …”

§ 26. Verhaltensregeln gem. §§ 63ff. WpHG S. 455-493

„… . Investmentvermö-gen verlangt. Eine solche überschießende nationale Regelung, die au-ßerhalb des Anwendungsbereichs …” „… Finanzinstrumente – wie etwanach §§ 164, 166, 268, 270 KAGB für Investmentvermögensanteile –Kurzinformationsblätter …” „… geschlossenen Investmentvermögen, der „Medienfonds-KG“ (MF-KG) iHv 50.000 EUR, und schließt hierüber mit der …”

§ 28. Regulierung der kollektiven Vermögensverwaltung S. 508-510

„… Investmentvermögens oder der Anlegerund der Integrität des Marktes handeln (§ 26 Abs. 2 Nr. 2 KAGB) so-wie …”

§ 29. Nachhaltiges Finanzwesen (Sustainable Finance) S. 510-524

„… Wertpapierfirmen,die Portfolioverwaltung erbringen sowie Verwalter alternativer In-vestmentfonds (AIFM) und …” „… alternative Investmentfonds (AIF)und Organismen für gemeinsame Anlagen in Wertpapieren (OGAW).Hierbei wird …” „… Investmentvermögen ("Rn. 96). Wer als Finanzmarktteil-nehmer ein Finanzprodukt emittiert oder anbietet, muss die …”

§ 33. Kapitalmarktzivilprozessrecht (KapMuG) S. 560-578

„… Kapitalmarktinformationen über Investmentver-mögen, insbesondere aus § 306 KAGB, in den Anwendungsbereich desKAGB.1708 Das …”

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