Financial Market Regulation

Expertise

Ave­laLaw helps you to nav­i­gate through the increas­ing­ly com­plex reg­u­la­to­ry envi­ron­ment. We work seam­less­ly across major busi­ness and finan­cial hubs and offer an “end to end” ser­vice, com­bin­ing legal and reg­u­la­to­ry knowl­edge with prac­ti­cal indus­try expe­ri­ence to deliv­er prag­mat­ic com­mer­cial solutions.

• Con­sti­tu­tion­al doc­u­ments, cor­po­rate gov­er­nance, finan­cial mar­ket appli­ca­tions and fil­ings with author­i­ties and super­vi­so­ry bodies
• Report­ing and com­mu­ni­ca­tion with the Swiss Finan­cial Mar­ket Super­vi­so­ry Author­i­ty FIN­MA, Reg­is­ter of Client Advi­sors, Stock Exchanges, OAK and Self-Reg­u­la­to­ry Organ­i­sa­tions for AML mat­ters, as well as for­eign reg­u­la­tors (such as CSSF, CBI, CIMA, BaFin)
• Analy­sis and imple­men­ta­tion of new finan­cial ser­vice reg­u­la­to­ry initiatives
• Reg­u­la­to­ry advice, legal and fac­tu­al clar­i­fi­ca­tions in sin­gle cas­es, inspec­tions and hearings

Dirk Spiegel

• + 41 44 281 92 50
• + 41 79 592 23 31
• dirk.spiegel@avelalaw.com
• Cur­ricu­lum Vitae