Capital Markets

The development of capital markets is crucial for economies worldwide, playing a significant role in financing businesses, investments, and shaping economic policy. The law governing capital markets encompasses a wide range of regulations and legal norms aimed at ensuring stability, transparency, and protecting the interests of investors and market participants.

Experts in this field must possess in-depth knowledge of commercial, civil, and business law to effectively advise clients and institutions on investments, financial transactions, and compliance with regulations. In the face of rapid technological development and globalisation, capital market specialists are faced with challenges of adapting to new trends, regulations, and financial innovations, making this specialization highly dynamic and fascinating for lawyers aspiring to work in this field.

Our capital market services are particularly aimed at: banks, brokerage houses, foreign branches of investment firms, investment firm agents, crowdfunding platforms, investment fund companies, depositary banks, and transfer agents. We also support investment fund distributors, payment institutions, and lending institutions.

Lawyers at Sadkowski and Partners possess in-depth knowledge of capital market law, covering legal regulations, case law, listing procedures, and supervisory regulations. They willingly share this knowledge with others through numerous training sessions and presentations.

 We can boast of rich experience and deep expertise in the field of capital market law. Our team of lawyers has practical experience in handling capital transactions, securities issuances, mergers and acquisitions, as well as ongoing advisory services. Our experts are proficient in legal aspects and can also thoroughly analyse the business and economic context of clients.

Capital market law is dynamically changing. To keep our subscribers informed about the latest changes in regulations, domestic and EU announcements, and to help understand complex legal issues, we send out a free newsletter every month.

In the field of capital market law, we provide legal services including regulatory advice, transactional advisory, ESG advisory, Compliance, and AML  services.

Our regulatory advisory includes the following activities:

  • we assist in administrative proceedings before financial supervisory authorities,
  • we support financial institutions in obtaining relevant licenses, permits, and approvals, as well as in other administrative proceedings, particularly concerning investment firms, investment fund companies, servicers, and investment funds, 
  • we provide support in handling inspections and implementing post-inspection recommendations in financial institutions,
  • we accompany clients in sanction proceedings,
  • we advise on designing and adapting to current regulations (regulations, contracts, internal regulations, risk management procedures, regulatory requirements related to the introduction of financial products),
  • we support the implementation of modern information technology in the field of financial services (FinTech),
  • we support the implementation of requirements for hiring key employees, as well as preparing recovery plans and business continuity plans,
  • we provide comprehensive services to supervised entities.

As part of transaction advisory, we provide the following services:

  • we support in capital market transactions,
  • we assist in bond issuance, admission of securities to trading on a regulated market or alternative trading system (IPO, SPO),
  • we advise on public M&A,
  • we support in transactions involving notification of crossing ownership thresholds in public companies, tender offers for the sale or exchange of securities, and the intention to acquire shares in financial institutions,
  • we conduct due diligence for financial institutions,
  • we advise on M&A for financial institutions, capital group structuring and restructuring involving financial institutions.

We offer a range of services in the field of ESG, inter alia:

  • we conduct audits regarding compliance with ESG criteria to assess actions taken by companies in terms of sustainable development,
  • we analyse and interpret ESG regulations, helping companies understand and adapt to regulatory requirements related to environmental protection, society, and corporate governance,
  • we assist in preparing ESG reports in accordance with international standards such as GRI (Global Reporting Initiative) or SASB (Sustainability Accounting Standards Board),
  • we aid in the development and implementation of a sustainable development strategy, including goals related to environmental protection, social activities, and effective corporate governance,
  • we assist investors in assessing ESG-related risks when making investment decisions.

In the field of Compliance and AML, we provide services as follow:

  • we conduct AML audits in obligated institutions,
  • we create comprehensive Compliance systems and conduct compliance audits;
  • we develop AML procedures and provide advice on their creation,
  • we support compliance supervision units in the ongoing performance of their legal obligations,
  • we assist in regular contacts with the Polish Financial Supervision Authority (KNF), the Office of Competition and Consumer Protection (UOKIK), the General Inspectorate for Financial Information (GIIF), and law enforcement agencies.

In today’s dynamic business environment, capital markets are a significant area of operation for many companies and investors. However, it is important to bear in mind that capital markets law encompasses complex regulations and standards. If you want to ensure that you have applied them correctly or would like competent lawyers to handle the legal aspects of your business in this area, feel free to contact us!

Do you have any questions?

Katarzyna Majer-Gębska

MANAGING COUNSEL, ATTORNEY-AT-LAW

+48 504 186 196

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