Die Neuausrichtung des prudentiellen Regulierungsrahmens für Wertpapierfirmen

Zusatztext

'The New Prudential Framework for Investment Firms': The thesis examines the regulatory framework for investment firms newly established by the Investment Firms Directive and Regulation (IFD/IFR) and the German Investment Firm Act (WpIG). It analyses the departure from the former approach based on equal treatment of investment firms and credit institutions and assesses whether the new regime ensures risk-adequate and proportionate regulation. The focus lies on firm classification and capital requirements based on K-factors.

Autorenportrait

Nils Kraus studied law at the Eberhard Karls University of Tübingen from 2013 to 2018, where he passed his first state exam. From 2018 to 2020, he completed his legal clerkship at the Stuttgart Regional Court, with training periods at Milbank in Frankfurt am Main and Gleiss Lutz in Stuttgart. After passing the second state exam, he pursued his doctoral studies at the University of Tübingen. Alongside his doctoral studies, he worked at Gleiss Lutz in Stuttgart, where he has been practicing as an attorney in the Corporate/M&A department since June 2024.

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