Jochen has been advising financial institutions in relation to regulatory work for more than ten years, in particular with regard to compliance matters. Furthermore, he has gained extensive experience in asset management.
Jochen specialises in cross-border activities of regulated entities, in particular the promotion of financial instruments. As a former compliance officer and alumnus of the official brokers’ training programme he has gained considerable insight into the day-to-day business of banking institutions. Jochen has set up fund structures inside and outside Germany and advised asset managers in relation to their buy-side and sell-side activities.
- Recent Work
- advising EFG Financial Products AG on setting up and structuring its pan-European sales activities
- advising various financial services firms on their compliance with BaFin rules, including preparing all MiFID relevant documents such as best execution policies, conflicts of interest management policies, terms of business and compliance manuals
- assisting asset managers in complying with disclosure of major shareholding requirements across the world and
- advising them on the disclosure requirements under applicable takeover regimes
- advising several international fund managers in relation to the provision of portfolio management services in Germany
- advising Marshall Wace on listing and delisting of ETFs.
Jochen is a partner in the financial markets department. Before joining the firm in Frankfurt, he worked for law firms in Düsseldorf and Leipzig. He also acted as a compliance officer for various financial services providers and as co-manager of a company providing compliance services. He was one of the founders of Germany’s first entity providing outsourced compliance services.
He read law at the University of Bayreuth and qualified as a German lawyer (Rechtsanwalt) in 1997.
Jochen publishes and lectures frequently on regulatory topics and hosts compliance training events for employees of regulatory institutions on a regular basis. He is a co-author of “Securities Trading in Practice” and 'Compliance - Organisational Duties'. He is a member of the banking and capital markets group of the German Bar Association, a member of the Frankfurter Compliance Kreis and sits on AIMA's EMEA Regional Advisory Committee.
Jochen is recommended in the JUVE and Legal 500 for his work in relation to financial services regulation and asset management. Following a client's comment, Jochen is "able to handle any issue’ and provides ‘excellent’ service".