The law firm M. Zollweg

Compliance with legal provisions and regulatory standards as well as fulfilling key ethical requirements, including self-imposed ethic principles and maxims, can be realized by the synergy of several components only.

We can assist you in this process.

Our core assets:

  • Comprehensive Compliance know-how to strengthen your operational responsibility
  • The competence of real experts based on practical experience for practical application
  • We speak your language
  • Interdisciplinary cooperation

The law firm M. Zollweg is a highly specialized law boutique in the field of Capital Market Compliance / Market Surveillance.

You benefit from over three decades of professional experience on both sides of the market.

The competence of real experts based on practical experience for practical application

Extensive expertise based on the responsible activities in the areas of Law/Compliance on the part of internationally operating financial services companies and bank institutions complement each other with indepth- and practice-based expertise from many years of regulatory activity with supervisory authorities and stock exchanges.

Thus, we are able to draw on the extensive experience gained from the work of the Trading Surveillance Authorities - which, in addition to monitoring stock exchange trading, also analyze Compliance-relevant issues in the following areas: among others, 'Risk', 'Know your Client', the admission of financial products - which, in addition to the monitoring of stock exchange trading, also covers the analysis of Compliance-relevant issues from the areas of 'Risk', 'Know your Client', the admission of financial products - which are incorporated in a case-by-case basis in solving your individual regulatory issues.

We speak your language

Many years of practice have shown that internal and external representatives of the supervisory side and the specialist- or trading departments involved frequently have to cope with communication or understanding difficulties. On the other hand, the practice-oriented implementation of supervisory requirements, which are frequently based on legal theory, is difficult to understand or to transfer into practice for practitioners - or rather for those who are obliged to implement the legal requirements.

We understand both sides

Statements such as ‘I ride the yield curve’ or ‘I can't reprogram the algo, without latency loss’ are well known and common. On the other hand, we also support you in the implementation and practical realization of regulatory requirements that frequently appear to be far remote from practice, and which often, for example in the area of European law regulation, make it even more difficult to deal with in practice due to linguistic and translation-related inadequacies.

Interdisciplinary cooperation

If required, you can also benefit from our network of experts and other professional specialists in the fields of trading, business administration, economics and IT. This ensures both an interdisciplinary problem analysis and solution on a case-by-case basis.

Guiding principle

Our guiding principle is: 'helping others to help themselves'.

Particularly in the regulatory area, there is a risk of wanting to delegate or transfer responsibility to third parties. This misinterpreted 'outsourcing' is therefore increasingly coming into the focus of regulatory and supervisory authorities and is increasingly criticized and sanctioned by supervisory law.

The legislator also responded to that difficulty, counteracts this tendency via legislative procedures and closes existing liability and responsibility areas.

The envisaged implementation of the Act on the Sanctioning of Association-Related Offences - Association Sanctioning Act- is just one vivid example of this approach.

In the event of violations of Compliance requirements and organizational principles stipulated by supervisory authorities, decision-makers and companies remain responsible and may potentially be held fully liable under civil, supervisory and criminal law.

Therefore, our services do not include the assumption of Compliance functions, such as those of a Compliance- or Money Laundering Officer, nor do we provide representation in court.