Dr. Andreas Fillmann’s practice focuses on banking and capital markets. Based on a long industry experience he provides advice in the fields of banking and finance regulation, compliance, structured finance, syndicated loans and derivatives. He also represents hedge funds and banks in issues relating to capital markets law. Andreas has considerable experience advising on the EU regulatory framework for financial services. He also has experience in derivatives including advice to investment banks and hedge funds on swaps and hedging activity. In addition, he has advised on a large number of capital markets transactions, in relation to both equity and debt finance, including primary and secondary stock placements and the issue of stand-alone and structured bonds, as well as issues programs for medium term notes (MTNs) in which Andreas was active for both issuers and consortium banks. He also counsels corporations regarding on their debt and equity related securities offerings.

Prior to joining Squire Sanders, he was a partner at a major US-based law firm, where provided advice in a broad range of capital markets, bank insolvency and bank regulatory matters. During which time and for a period of five years, Andreas was chair of the supervisory board of interNetwork AG, now known as Q Inc. Before that, Andreas was head of the legal department at the Bank of Tokyo-Mitsubishi in Frankfurt. In that capacity, he advised the bank in a broad range of corporate, bank regulatory, finance and capital market matters.

The quality of his work has been mentioned in the last three editions of the JUVE Handbook of German Corporate and Commercial Law Firms and in the Nomos Handbook. Andreas is listed as a leading individual for banking and finance matters in Germany in Chambers Global 2012. He is a member of the Deutsches Aktieninstitut, European Finance Association, International Banking Association, Center for International Legal Studies, and the German and Frankfurt Bar Association.

Andreas is the author of several articles on bank finance and capital markets-related issues and speaker at numerous legal and industry conferences in Germany and abroad.

Representative Experience

• Advising various types of investment funds in Germany regarding regulatory matters, investment management agreements and fund distribution.
• Advising various banks, private equity and hedge funds, and companies in Germany on a range of regulatory and compliance issues including data protection and money laundering.
• Advising a Vietnam-based bank on license application and other regulatory matters.
• Advising a Slovak Republic-based company on the issue of a €85 million assignable loan agreement (Schuldscheindarlehen).
• Advising several UK-based private limited companies regarding their listings of shares in the Open Market segment of the Frankfurt Stock Exchange.
• Advising an Iceland-based bank in a distressed situation on various banking and capital market matters.
• Advising an Ireland-based hedge fund on the listing of its prospectus with Germany’s Federal Financial Supervisory Authority (BaFin).
• Advising US-based hedge funds on innovative swap structures based on distressed loan portfolios.
• Advising an EU central bank on various derivative transactions.
• Advising a France-based bank on an asset-backed securitization.
• Advising US-based hedge funds and US investment banks on transactions and purchases of performing and nonperforming loan portfolios.
• Advising a Germany-based corporation on its IPO on the Frankfurt stock exchange.
• Advising a US-based bank on an acquisition finance transaction.
• Advising national and international banks on syndicated loans and bond issues.
• Advising a US-based corporation regarding its project finance transaction in Germany.
• Advising lenders and banks regarding financing through loans and bonds.

Publications

• “FATCA – ein Gesetz, das viele Fragen aufwirft,” Alternative News, February 2012.
• “New Rules for Major Holdings of Voting Rights in Germany,” Squire Sanders publication, January 2012.
• “The Projected Insolvency Law Reform,” Lexology, 20 May 2011.
• “Securities Finance 2011,” Germany chapter, Getting the Deal Through magazine, May 2011.
• “The Proposed Alternative Investment Managers Directive,” Comparative Law Yearbook of International Business, Volume 32, CILS, 2010.
• “Basel II, III and Capital Requirements Directive,” Financier Worldwide, Issue 94, October 2010.
• “Financial Stabilization Measures for Endangered Germany-Based Credit Institutions,” IPBA, September 2010.
• “Bank Regulations: Basel II and the Capital Requirements Directive,” Lexology, 5 September 2010.
• “New Restructuring/Reorganization and Transfer Procedures for Endangered Germany-based Credit Institutions,” Lexology, 18 August 2010.
• “New Legislative Acts Aimed to Strengthen Investor Protection and Improve Financial Markets,” EuroWatch, June 2010.
• “Securities Finance 2010,” Germany chapter, Getting the Deal Through – Securities Finance 2010, May 2010.
• “Future European financial supervision,” Financier Worldwide, September 2009.
• “Compliance Obligations Pursuant to the GmbHG as Reformed by the Act to Modernize the German law Governing Private Limited Companies and to Combat Abuses (MoMiG),” Squire Sanders Corporate Alert, July 2009.
• “Proposal for a Directive on Alternative Investment Fund Managers,” Squire Sanders Financial Services Alert, May 2009.
• “An International Perspective on Securitization and the Financial Crisis,” Andrews Financial Crisis Litigation Reporter, April 2009.
• “Germany – The New German Limited Liability Company Act,” EuroWatch, March 2009.
• “Data Protection and Consumer Information Rights,” Mondaq, August 2008.
• “Die Notwendigkeit einer ‘Euro-Grundschuld,’” Property Magazine, June 2008.
• “Subprime-Krise und Credit Default Spreads,” Handelsblatt, April 2008.
• “Anfechtung der Globalzession als inkongruente Deckung – BGH locuta, causa finita?” (“Challenging Global Assignments as Incongruent Cover – BGH locuta, causa finita?”), NJOZ, Issue 10, March 2008.
• “MiFID’s Offshore Impact,” Offshore Investment Magazine, Issue 182, December 2007/January 2008.
• “Code of Conduct: An Alternative for the Regulation of Hedge Funds,” The Hedge     Fund Journal, Issue 33, December 2007/January 2008.
• “Regulation of Hedge Funds in Capital Markets Law,” The Hedge Fund Journal, Issue 31, October 2007.
• “The Regulation of Hedge Funds – A Never-Ending Story,” Institutional Alternative Investment, September 2007.
• “Germany’s Insolvency Code – Is It Finally Being Used to Its Potential?,” Global Insolvency and Restructuring Review, Euromoney, Yearbooks 2007/2008.
• “A Step Too Far?,” International Financial Law Review, September 2007.

Quotes

• Quoted, “Harnessing the Benefits of Euronext”, Law Times, Vol. 22, No. 67, 14 February 2011.
• Quoted, “Ziel der AIFM-Richtlinie ist ein verbesserter Schutz gegen systemische Risike,” Hedgework Magazine, February 2011.
• Quoted, “Playing by Globe's Newest Rule Book ‘Tricky’,” Securities Industry News, 5 April 2010.
• Quoted, “Goldman In Hot Seat Over Greek Swaps,” Law360, 25 February 2010.

Speaking Engagements

• Speaker, “Grenzüberschreitende Datenübermittlung im Konzern” (Cross-border Data Transfer in the Group) and “Datenschutz Versus FATCA” (Data Protection Versus FATCA), Datenschutz im Bankwesen, organized by the Verband der Auslandsbanken (Foreign Banking Association), 14 September 2011.
• “AIFM-Directive,” Hedgework Frankfurt, December 2010.
• “Marktschützende Regeln im Bankenbereich,” Deutsches Aktieninstitut, June 2010.
• Panelist, “Achieving Best Risk-Adjusted Returns in the Post-Crisis World,” C5’s 14th Annual CEE Private Equity Forum, 5-6 November 2009.
• “Sale of Loan Portfolios,” Third Annual Forum Securitisation in Russia and CIS, London, 30 September 2008.
• “Die MiFID – der Countdown Läuft” (“The MiFID – the Countdown Has Begun”), Deutsches Aktieninstitut, Frankfurt am Main, 19 September 2007.
• “The Best Execution Implemented by MiFID and the Level III Public Consultation,” Financial Events International, Luxembourg, 26-27 June 2007.
• “Lawyering in the International Market,” sponsored by the Center for International Legal Studies.
• “Meeting the Requirements on Best Execution Under MiFID,” Whistler, British Columbia, Canada, April 2007.