DIRK SPIEGEL, LL.M.

Partner

“Whatever you do, do it wisely and consider the end.”

Aesop

Expertise

Dirk is a Partner and advises international and domestic asset managers, institutional investors, banks and other financial institutions. His core competencies are financial market applications, alternative and traditional fund structuring, the formation of other investment products across various asset classes as well as fund distribution and cross-border sales activities. He also provides advice to institutional and private investors regarding their alternative investments particularly in private equity, infrastructure and private debt including primary, secondary and co-investments.

A further focus of his practice is regulation as well as the development and amendment of corporate governance frameworks incl. internal regulations, directives, policies, code of conducts and underlying monitoring principles. He also provides advice in connection with compliance services, distribution, cross border marketing activities, crisis management and anti-money laundering law, whereby he looks at compliance with regulations, corporate law and contracts. He also supports public companies to assess compliance risks and navigate the challenges that management and boards face in activist campaigns. Furthermore, he conducts internal complianceinvestigations.

Dirk is deeply involved in corporate governance matters and upcoming new financial services regulations, such as the Markets in Financial Instruments Directive (MiFID), the General Data Protection Regulation (GDPR), the Swiss Financial Services Act (FIDLEG) and the Swiss Financial Institutions Act (FINIG).

  • Partner CapstoneLaw, Zurich, since October 2018
  • Group General Counsel, Chief Compliance Officer and Member of the Group Management Board of GAM Holding AG
  • General Counsel Switzerland and Member of the Executive Board at Schroder Investment Management (Switzerland) AG
  • General Counsel and Chief Risk Officer at UBS Global Asset Management – Fund Services
  • Vontobel Asset Management as Head of Legal and Compliance
  • Member of Ethics and Compliance Switzerland (ECS)
  • Not admitted to the bar
  • PhD candidate in the Faculty of Law, Private Universität im Fürstentum Lichtenstein.
    Thesis: “Shareholder Activism in der Schweiz”
  • Master of Laws from the University of London, Queen Mary, London;
  • Bachelor in Economics from the University of Applied Sciences in Business Administration, Zurich.
  • German
  • English
  • French
  • Spanish
Articles
  • The Financial Services Act and the Financial Institutions Act (with Hans Moritz), in Citywire Swiss Edition, October 2018.

Njus Series

The publication provides timely, concentrated and compact information. Every year, the Financial Market Law series presents the developments of the past year in legislation, jurisprudence and literature. In legislation, amendments already adopted and legislative projects are presented. In the section on jurisdiction, a presentation of the most important officially and unofficially published decisions of the Federal Supreme Court is provided. Regarding literature, not only is comprehensive reference made to new publications, but the main statements of selected publications are also summarised. The Njus series thus enables readers to keep abreast of the latest developments in the field of financial market law in the shortest possible time.

  • „Finanzmarktrecht, Entwicklungen 2017“, Reihe njus.ch, Stämpfli Verlag, Bern 2018
  • „Finanzmarktrecht, Entwicklungen 2016“, Reihe njus.ch, Stämpfli Verlag, Bern 2017
  • „Finanzmarktrecht, Entwicklungen 2015“, Reihe njus.ch, Stämpfli Verlag, Bern 2016
  • „Finanzmarktrecht, Entwicklungen 2014“, Reihe njus.ch, Stämpfli Verlag, Bern 2015
  • „Finanzmarktrecht, Entwicklungen 2013“, Reihe njus.ch, Stämpfli Verlag, Bern 2014
  • „Finanzmarktrecht, Entwicklungen 2012“, Reihe njus.ch, Stämpfli Verlag, Bern 2013
  • „Finanzmarktrecht, Entwicklungen 2011“, Reihe njus.ch, Stämpfli Verlag, Bern 2012
  • „Finanzmarktrecht, Entwicklungen 2009“, Reihe njus.ch, Stämpfli Verlag, Bern 2010
  • „Finanzmarktrecht, Entwicklungen 2008“, Reihe njus.ch, Stämpfli Verlag, Bern 2009