DIRK SPIEGEL, LL.M.

Partner

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

Aesop

Expertise

Dirk is a Partner at CapstoneLaw 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 private market and traditional fund formation, as well as the structuring of a broad range of other investment vehicles across various asset classes and jurisdictions. He also provides advice to institutional and private investors regarding their investment activities in private debt and equity, venture capital, infrastructure, and real estate via the acquisition of fund interests, co-investment arrangements and club deals.

Dirk 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.

Another focus of Dirk’s practice relates to 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.

Before co-founding CapstoneLaw, 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.

  • 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
Who’s Who Legal, Global Guide 2021 (to be published in Oct 2020):
  • Category: Private Funds – Formation
  • Category: Private Funds – Regulatory

Who’s Who Legal Practice Area Guides identify international leaders in their area of expertise.