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Compliance im Wertpapierdienstleistungskonzern
Hardcover
Series: Schriftenreihe Der Bankrechtlichen Vereinigung, Book 21
ISBN13: 9783899490466
Publisher: De Gruyter
Published: Apr 16 2003
Pages: 357
Weight: 1.50
Height: 0.81 Width: 6.14 Depth: 9.21
Language: German
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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