5107434: C12_Law of Asset Management

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Semester:SS 21
Lektionen / Semester:30.0 L / 22.5 h
Selbststudium:67.5 h



Bachelorstudiengang Betriebswirtschaftslehre (01.09.2012)


  • Introduction to Law of Financial Markets, General Concepts
  • Scope of Law & Regulation of Financial Markets
  • Types of Regulation: Intermediary, Sales, Product
  • Vertical Regulation (Banks, Fund Manager, Asset Manager, Depositary, Financial Conglomerates, Rating Agencies)
  • Horizontal Regulation (Market Abuse, Data Protection)
  • Sales Regulation (Investor Disclosure & Transparency, KIID/PRIPs, Sales Intermediary, Cross-Border Sales & Services)
  • Product Regulation
  • Regulation and Supervision
  • Impact of Digital Transformation


    • Know the basic principles of the Law & Regulation of Financial Markets.
    • Know the scope and basic principles with respect to vertical regulation.
    • Understand the basic structure of the sources of law.
    • Circumscribe the organization and competences of the financial supervision.
    • Analyze the specific duties of due diligence in comparison to the competences of the financial supervision.
    • Compare the different methods and legal instruments to manage assets.
    • Create concepts about the establishment and organization of financial intermediaries.
    • Apply law on specific cases
    • Know how to find the relevant sources of law (statutes, judgements) and handle the relevant legal databases.
    • Solve practical cases by interpreting the sources of law.
    • Analyze different types of intermediaries.
    • Are able to interpret the corresponding sources of law.
    • Decide upon practical cases by interpreting the corresponding sources of law in the scope of financial supervision and vertical as well as horizontal regulatory instruments
    • Listen carefully to understand and interpret the arguments of the lecturer and fellow students.
    • Interpret arguments and facts during presentations of the lecturer and fellow students and react with critical questions. Improve communication skills by debating their point of view in discussions during the lecture.
    • Learn the need for communication in teams and the difficulties and benefits of working in groups within group work assignments.
    • Have their own proposals for solutions and are able to defend and explain their ideas.
    • Notice their own learning aptitude and willingness to learn new things.
    • Communicate autonomously, reflect their own actions carefully and are able to assess themselves realistically.
    • Assume responsibility because of their self-discipline and flexibility.
    • Stand out due to their enthusiasm, sense of duty and reliability.
    • Advance their enthusiasm and affect their willingness to learn new things




  • Rüdiger Veil, European Capital Markets Law (published 06-04- 2017)
  • Niamh Moloney, EU Securities and Financial Markets Regulation (3rd edition)
  • Financial Regulation in the EU, Douady, Goulet, Pradier, 2017
  • additional lecture notes provided on Moodle


  • written examination


23.02.202115:15 - 16:45Virtueller Raum
02.03.202115:15 - 16:45Virtueller Raum
09.03.202115:15 - 16:45Virtueller Raum
16.03.202115:15 - 16:45Virtueller Raum
23.03.202115:15 - 16:45Virtueller Raum
30.03.202115:15 - 16:45Virtueller Raum
13.04.202115:15 - 16:45Virtueller Raum
20.04.202115:15 - 16:45Virtueller Raum
27.04.202115:15 - 16:45Virtueller Raum
04.05.202115:15 - 16:45Virtueller Raum
11.05.202115:15 - 16:45Virtueller Raum
18.05.202115:15 - 16:45Virtueller Raum
25.05.202115:15 - 16:45Virtueller Raum


  • PWW-BA-12_Law of Asset Management - VO (SS 21, bewertet)
  • PWW-BA-12_Law of Asset Management - VO (WS 21/22, bewertet)