Dr. Dominik Kloka , LL.M. (NYU)

Rechtsanwalt
Senior Associate
Practice Group Capital Markets
Practice Group

Expertise

  • Stock Corporation & Capital Markets Law
  • Banking & Corporate Finance
  • Financial Markets Supervisory Law

Focus areas:

  • Capital market transactions (IPOs, secondary offerings, bond issues, etc.)
  • Securities law and prospectus approvals (CSSF und BaFin)
  • Ongoing corporate law advice
  • Ongoing and transaction-related advice for banks
  • Market Abuse Regulation (MAR), German securities law (WpHG), MiFID II, MiFIR
  • Schuldschein loans & Derivatives (EMIR)
  • FinTechs

Career

  • Legal studies at University of Frankfurt am Main
  • Master of Laws (LL.M.) at New York University (School of Law and Stern Business School)
  • Research assistant and doctoral thesis at the House of Finance (University of Frankfurt am Main) at the institute for Private Law, German, European, and International Business Law, Law and Finance, and Comparative Law
  • Legal clerkship at the Higher Regional Court (OLG) of Frankfurt am Main
  • With Noerr since 2013
  • Admitted to the Chamber of Lawyers Frankfurt am Main

Memberships

  • German-American Lawyers Association (DAJV)

Selected Publications

  • New obligations with regard to securities financing transactions – coming into force of the Regulation on Securities Financing Transactions (SFTR) („Neue Pflichten im Hinblick auf Wertpapierfinanzierungsgeschäfte - Inkrafttreten der Verordnung zur Transparenz von Wertpapierfinanzierungsgeschäften (SFTR)“)
  • „Rechtsformen und Rahmenbedingungen der Innovationsfinanzierung - Eine juristisch-ökonomische Analyse der Venture Capital Limited Partnership als Investitionsvehikel“, Dissertation 2015
  • Implementation of EMIR requirements in connection with agreements of OTC-Derivatives. (Original title: Umsetzung von EMIR-Pflichten im Zusammenhang mit Vereinbarungen nicht-geclearter Derivategeschäfte), in: Wertpapiermitteilungen 2015, p. 215 et seq. (with Dr. Sebastian Wulff)