Jörg Stöhr Email and Phone Number

...together with the perfect team and tool of CYNOS

Anti-money laundering and investment compliance with my top people Claudia Albertini and Daniel Studer.

With my long-term experience in the legal & compliance area I am helping our clients / external asset managers to implement solutions which meet the requirements of our fast changing regulatory environment.

Provision of regulatory advice for the development of the business model between financial intermediaries and custody banks. Adaptions of the service model to comply with regulatory changes (FIDLEG, FINIG, FinFraG, VSB, MiFID, AIA, ...)

Leading a team of compliance professionals and lawyers, act as subject matter expert for...1. Anti-money Laundering Compliance- client identification- beneficial owner / control person- tax compliance- spot checks of flow-of-funds and KYC documentation- delegation of background checks and client identification to EAMs- notification of cases to the federal money laundering reporting office (MROS)2. Cross Border Compliance (since 2004)- check regulatory framework abroad- develop standardised questionnaires- set out restrictions for client acquisition- enable collaboration with foreign EAMs- check triggers for licensing requirements abroad (introducing broker or tied-agent)- write manuals for selected countries- measures to avoid licensing requirements or comply with exemptions (e.g. BaFin Freistellung)3. Product Compliance- on- /offhore distribution of collective investment schemes- client categories and different types of share classes- collaboration / product distribution through finders and EAMs- initial public offering (IPO) and EU prospectus directive- revenue split agreements (retrocession, finders fee, trailer fee) with third parties - tax and licensing conditions for insurance products („wrapper“)4. Regulatory Compliance- AMLA (GwG), SETA (BEHG), FMIA (FinfraG), CISA (KAG)- EU regulation: MiFID I + II, EMIR, UCITS, AIFMD- FIDLEG-E, FINIG-E5. Legal- forms and contracts for EAM business- legal advice to front units- instruction of external law firms in litigation cases- complaint handling

Investment compliance and trade compliance, i.e. ensure adherence to WpHG (German Securities Trading Act)- owner of compliance policies- complaint handling- avoid insider dealing, maintain watch- and restricted list- front-running controls, etc. to avoid market abuse- random checks for best execution- monitoring of employee transactions- transaction reporting (formerly § 9 WpHG, now art. 26 MiFIR)

Data Protection Officer- act as contact point to the supervisory authorities (Regierungspräsidium Darmstadt)- handle enquiries from clients (data subjects)- build up record of personal data and processing activities- advise on data protection rules, i.a. for marketing activities