Distribution and intermediary law

*by Johannes Fiala, Attorney at Law (Munich), MBA Financial Services (Univ.Wales), M.M. (Univ.), chartered Financial and investment advisor (A.F.A.), EGExpert (C.I.F.E.), banker (www.fiala.de) Distribution and intermediary law: what are contract brokerage, investment advice, Financial portfolio management,financial planning, investment brokerage and prospectus liability? Investment brokerage: Investment brokerage (also acquisition brokerage, especially in the insurance sector) is […]

Initiatoren-Begleitung und Controlling: Lack of BaFin approval with punishment ? Reversal trap in distribution law ?

*by Johannes Fiala, Attorney at Law (Munich), MBA Financial Services (Univ.Wales), MM (Univ.), Chartered Financial and Investment Adviser (A.F.A.), Banker (www.fiala.de) For initiators and distributors it is of crucial importance that all necessary permits are available ? included tested Brochures. However, there are always initiators who are poor or even are not advised. And so […]

The serial damage in the intermediary liability

by Johannes Fiala, Lawyer (Munich), M.B.A. (Univ.Wales), M.M. (Univ.), Certified Financial and Investment Advisor (A.F.A.), EC Expert (C.I.F.E.), Banker (www.fiala.de ) Insurance gap The experienced insurance broker will point out two common gaps in the VSH conditions to his VSH client: On the one hand, the lack of coverage if the insured, in particular, “knowingly […]

Out of the advisor liability: By mediator recourse with banks and selling !

– Liability for faulty, incomplete sales training – by RA Johannes Fiala, banker (IHK), certified financial and investment advisor (A.F.A.), business economist (M.B.A., Univ.), court-appointed expert (financial services sector), IHK examiner (Finanzfachwirt), www.fiala.de Attorney Johannes Fiala explains exclusively for experten.de, at the example of the credit-financed pension, central solution beginnings, in order to come as […]

Occupational pension schemes: Advice protocols and products put to the test

*by Peter F. Then, insurance broker (Veitshöchheim), lawyer (www.then-finanz.de) and Johannes Fiala, lawyer (Munich), banker (www.fiala.de ) The information problem: An agent writes ‘I personally have no problem with broker liability. I am largely responsible for my own actions. Only that I should take over the liability for the mistakes of my suppliers does not […]

Intermediary liability: bankruptcy due to incorrect investment advice

A must read for advisors, agents, brokers, employees of distribution companies, employees of insurance companies, partners and employees of credit institutions.   Intermediary liability: The early death of the investment advisor through bankruptcy due to incorrect investment advice!   New market development trends: The banking and investment scene is in a state of upheaval. The […]

Prohibition of remuneration and activity in the case of a lawyer’s second profession, in particular professional guardianship

In the practice of the guardianship, insolvency, execution and probate courts, a professional lawyer is often selected and appointed by the court, especially in more difficult cases as guardian, insolvency administrator, sequestrator or guardian of the estate (second professional). The aim of the court is thus to appoint a person who is suitable and not […]

If the notary has made mistakes

Notaries also make mistakes. And even in this honorable professional group there are black sheep as elsewhere. Various examples from recent years – some of which we have reported on in recent issues – show that humanity is by no means alien to this state of affairs either. The VfE recommends that, if necessary, you […]