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Band 1
Band 1
About
Provided by Sandro Abegglen
Practice Areas
Sandro advises Swiss and foreign banks, securities houses, asset managers and investment funds on regulatory and civil law aspects for the whole range of their offerings. He assists them also in obtaining the required FINMA licenses (institutions and products). He regular-ly represents banks in high caliber enforcement proceedings against FINMA, and carries out internal investigations. He also advises major institutions on AML, CDB (VSB) and sanctions laws, on FINMASA and on art. 273 Criminal Code. A further important focus of him is to represent banks in civil disputes such as on inducements, zero interest rate floors, and other major cases typically involving regulatory, AML or international aspects.
Career
Swiss Bar (1992). University of Berne, Dr. iur. (1995). University of Texas at Austin School of Law, LL.M (1996). University of Berne, private lecturer (Privatdozent) for con-tracts, banking law and financial services regulation (2003). Niederer Kraft Frey AG (NKF), Partner (2006-), Head of NKF's Banking, Finance and Regulatory Team (2020-). Vice Chairman of the boards of directors of two major asset managers (Ardian and AXA Investment Managers Switzerland). Often acts as lecturer at reputed law conferences.
Professional Memberships
Legal & Compliance Committee member of the Swiss Asset Management Association AMAS, the industry and self-regulatory body of the Swiss funds and asset management industry.
Publications
Author of two books and numerous law journal articles often quoted by courts and con-tributor to leading commentaries in his field, including on CISA and, in in the Basle Com-mentaries, on FinSA (FIDLEG; art. 21 – 27), FinIA (FINIG), and CISA (KAG).
Personal
Born 1967. German, French, English.