Dirk Spiegel, LL.M.
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.
- The Financial Services Act and the Financial Institutions Act, in Citywire Swiss Edition, October 2018.
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