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Luitgard Spögler, with extensive experience in the area of “supervised intermediaries” regulation, advises and counsels banks, financial intermediaries, SGRs/UCRs, pension funds, listed companies, IMELs/payment institutions. In the area of asset management, he assists a leading clientele in the establishment of UCIs, including innovative ones (credit AIFs), and assists pension fund bodies in day-to-day management.
He deals in particular with corporate governance, assistance in board review processes; system of internal controls, remuneration systems, anti-money laundering, securitization, admission to trading in regulated markets, participation in public tenders for the provision of financial and ancillary services, drafting of contracts and agreements in line with international standards (e.g. ISDA master agreements). Finally, he provides assistance in administrative sanction proceedings initiated by sector supervisory authorities and in appeals against sanction orders.
With a background in the Bank of Italy and at the European Commission, she has served on high-level expert groups at ESMA and was a member of the Italian delegation in negotiations for the adoption of EU directives on MiFID, UCITS, IMEL, investor compensation schemes.
She lectures as part of university specialization courses on regulation in the asset management sector and financial innovation and speaks at information initiatives addressed to corporate officers, management and heads of internal functions of supervised intermediaries. She is a member of the Rome Bar Association.