Whether adapted minimum requirements for compliance, current securities trading law, extended transparency, conduct and organizational obligations, or concretizing circulars of BaFin and more: strictly regulated credit and financial services institutions face high legal dynamics and considerable public observation. Violations of the complex supervisory requirements entail considerable legal and reputational risks. Find out how to address current securities compliance implementation issues in an organizationally optimal and legally sound manner in this highly regarded volume: investment advice and its recordkeeping, financial analysis and financial portfolio management, marketing and customer information, employment law and human resources, and minimum compliance requirements. Individual sections.