Dirk Spiegel, LL.M.

Part­ner

Expertise

Dirk is a Found­ing Part­ner at Ave­laLaw Zurich with over 20 years of legal and com­pli­ance expe­ri­ence in asset man­age­ment, mutu­al funds, and pri­vate mar­ket invest­ments. He advis­es inter­na­tion­al and domes­tic asset man­agers, funds, insti­tu­tion­al and pri­vate investors, banks and oth­er finan­cial inter­me­di­aries on key legal, com­pli­ance, strate­gic as well as trans­ac­tion­al issues.

His core com­pe­ten­cies include fund for­ma­tion, as well as the struc­tur­ing of a broad range of oth­er invest­ment vehi­cles across var­i­ous asset class­es and juris­dic­tions. A fur­ther focus of his prac­tice is the clar­i­fi­ca­tion of finan­cial mar­ket license require­ments. Dirk has broad expe­ri­ence in con­duct­ing licens­ing appli­ca­tions as well as the devel­op­ment and imple­men­ta­tion of effec­tive gov­er­nance oper­at­ing mod­els for finan­cial ser­vice providers, includ­ing the draft­ing of inter­nal reg­u­la­tions, direc­tives, poli­cies, codes of con­duct, and relat­ed mon­i­tor­ing pro­grams as well as the imple­men­ta­tion of domes­tic and inter­na­tion­al finan­cial ser­vices regulations.

Fur­ther­more, Dirk coun­sels on com­pli­ance mat­ters, the imple­men­ta­tion of anti-mon­ey laun­der­ing con­cepts as well as con­trol frame­works. He helps finan­cial insti­tu­tions to assess com­pli­ance risks and con­ducts inter­nal com­pli­ance inves­ti­ga­tions and  advis­es inter­na­tion­al and domes­tic asset man­agers on their Swiss and inter­na­tion­al mar­ket­ing and fund-rais­ing activ­i­ties with a focus on reg­u­la­to­ry stan­dards and mar­ket con­duct rules.

Before co-found­ing Ave­laLaw, Dirk was the Group Gen­er­al Coun­sel and Group Chief Com­pli­ance Offi­cer and Mem­ber of the Group Man­age­ment Board of a glob­al asset man­age­ment firm based and list­ed in Switzer­land. Dur­ing his career, Dirk had the oppor­tu­ni­ty to work in dif­fer­ent juris­dic­tions in Europe, the Unit­ed States and Asia.

  • Found­ing Part­ner Ave­laLaw Ltd., Zurich, since June 1, 2021
  • Found­ing Part­ner Cap­stoneLaw, Zurich
  • Group Gen­er­al Coun­sel, Chief Com­pli­ance Offi­cer and Mem­ber of the Group Man­age­ment Board of GAM Hold­ing Ltd., Zurich
  • Gen­er­al Coun­sel Switzer­land and Mem­ber of the Exec­u­tive Board, Schroder Invest­ment Man­age­ment (Switzer­land) Ltd., Zurich
  • Gen­er­al Coun­sel and Chief Risk Offi­cer, UBS Glob­al Asset Man­age­ment – Fund Ser­vices, Zurich
  • Head of Legal and Com­pli­ance, Von­to­bel Asset Man­age­ment Ltd., Zurich

Who’s Who Legal: 

  • Switzer­land – Nation­al Leader, Invest­ment Man­age­ment 2021,
  • Glob­al Leader — Pri­vate Funds-For­ma­tion 2021, Pri­vate Funds Reg­u­la­to­ry 2021


Mem­ber of Ethics and Com­pli­ance Switzer­land (ECS)

  • Not admit­ted to the bar
  • Mas­ter of Laws, Uni­ver­si­ty of Lon­don, Queen Mary, London
  • Bach­e­lor in Eco­nom­ics, Uni­ver­si­ty of Applied Sci­ences in Busi­ness Admin­is­tra­tion, Zurich.
  • Ger­man
  • Eng­lish
  • French

Arti­cles

  • The Finan­cial Ser­vices Act and the Finan­cial Insti­tu­tions Act, 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 2019“, Rei­he njus.ch, Stämpfli Ver­lag, Bern 2020
  • „Finanz­mark­trecht, Entwick­lun­gen 2018“, Rei­he njus.ch, Stämpfli Ver­lag, Bern 2019
  • „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