Profile
Bertrand Schott specialises in the regulation of financial services, investment funds and other investment vehicles in particular asset management and distribution, financial market infrastructures and the trading of derivatives and other financial instruments. Bertrand also focuses on corporate law and M&A, primarily in the financial sector. Bertrand Schott is a member of NKF’s Executive Committee.
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Bertrand Schott advises domestic and international banks, asset managers, fund management companies, financial market infrastructures and other financial institutions as well as investors in all aspects of financial market regulation, often in cross-border projects. He is regularly instructed by his clients to prepare complex documentation, to draft legal opinions or to represent them before FINMA, the Swiss Financial Market Supervisory Authority.
His main activities include:
- New regulations and developments, in particular the Financial Services Act and FinTech: structuring offer, implementation, documentation
- Financial market infrastructures, in particular trading venues, payment systems, central counterparties: obtaining licenses and recognitions
- Trading in financial instruments: implementation of derivatives trading regulation, co-author of the ICMA/ISLA industry opinions on the framework agreements for securities lending and repo transactions, drafting of various netting opinions
- Corporate law, M&A: organisation, corporate governance, transactions
- Management and distribution of investment funds: advice on organization, delegation, documentation
- Neuere Entwicklungen im Wealth Management in: Finanz und Wirtschaft — Legal Success, 23. March 2024
- Kommentar Artikel 9-11 FINIG (Comment Article 9-11 FINIG) in: Sethe/Bösch/Favre/Schott (Hrsg.), Schulthess Kommentar, Kommentar zum Finanzinstitutsgesetz FINIG, Zurich 2021
- FinSA (FIDLEG) Position Paper regarding selected Aspects of the Financial Services Act in: CapLaw 3/2021, p. 2 – 18
- Insurance Supervision Act: Proposed New Rules regarding Distribution of Insurance Products (Point of Sale) and Insurance Intermediaries, 2020 in: CapLaw 06/2020, P 10-17 (8 Pages)
- Switzerland’s New Financial Market Architecture NKF Schriftenreihe Publikation #18 (100 Pages; 723 kb)
- NKF Client Alert: NKF Banking, Finance & Regulatory Team – Update 7/2017: Publication of the revised FINMA-Circular 2018/3 “Outsourcing – banks and insurance companies Online Publication, 8 December 2017
- Immobilienfonds in der Insolvenz, 2017 in: Thomas Sprecher (Hrsg.): Sanierung und Insolvenz von Unternehmen VIII, Europa Institut an der Universität Zürich (EIZ), Schulthess Juristische Medien AG, Zürich/Basel/Genf 2017, S. 167-199 (39 Pages; 1.08 MB)
- Bail-in Recognition Clause, 2016 in: CapLaw 05/2016, P 7-15
- NKF client alert: NKF Banking, Finance & Regulatory Team – Update 6/2017: partial revision of AMLO-FINMA: consultation process until 16 October 2017 Online Publication, 14 September 2017 (3 Pages; 158 kb)
- NKF client alert: NKF Banking, Finance & Regulatory Team – Update 5/2017: swiss banking regulations become more FinTech-friendly Online Publication, 14 July 2017 (3 Pages; 163 kb)
- NKF client news: NKF Banking, Finance & Regulatory Team – Update 4/2017 Online Publication, 12 May 2017 (9 Pages; 181 kb)
- Switzerland’s new financial market architecture (2nd edition / May 2016) NKF-Schriftenreihe Publikation # 20 (146 Pages; 850 kb)
- Kommentierung von Art. 363-379 OR (Werkvertrag), 2015 in: Heinrich Honsell/Nedim Peter Vogt/Wolfgang Wiegand (Hrsg.): Basler Kommentar zum Schweizerischen Privatrecht, Obligationenrecht I, 6. Auflage, Basel/Genf/München 2015
- Overhaul of swiss financial markets regulation in: Legal Week 11/2015, S. 24 (3 Pages, 213 kb)
- Gesellschaftsrecht Schweiz – EU, Entwicklungen und Kommentar 2011/12 in: Andreas Kellerhals/Tobias Baumgartner (Hrsg.), Wirtschaftsrecht Schweiz – EU, Europa Institut an der Universität Zürich (EIZ), Zürich/St. Gallen 2012
- Das Insolvenzrecht für Banken und Effektenhändler – Überblick über die Sonderregelung und ausgewählte Fragen, 2011 in: Thomas Sprecher (Hrsg.): Sanierung und Insolvenz von Unternehmen, Europa Institut an der Universität Zürich (EIZ), Zürich/Basel/Genf 2011, S. 237-291 (56 Pages; 257 kb)
- Gesellschaftsrecht Schweiz – EU, Entwicklungen und Kommentar 2010/11 in: Andreas Kellerhals/Tobias Baumgartner (Hrsg.), Wirtschaftsrecht Schweiz – EU, Europa Institut an der Universität Zürich (EIZ), Zürich/St. Gallen 2011, S. 51-70
- Die Décharge – Eine Überflüssige Institution des Gesellschaftsrechts?, 2010 in: Rolf. H. Weber / Peter Isler (Hg.), Verantwortlichkeit im Unternehmensrecht V, Europa Institut Zürich (EIZ), Bd. 104 (2010), S. 197-225
- Aktienrechtliche Anfechtbarkeit und Nichtigkeit von Generalversammlungsbeschlüssen wegen Verfahrensmängeln, 2009 in: Schweizer Schriften zum Handels- und Wirtschaftsrecht (SSHW), Zürich 2009 (Dissertation)
2012
Columbia University School of Law, New York, LL.M.
2009
University of Zurich, PhD, Issekutz Award and Prof. Walther Hug Award
2002
University of Fribourg, lic. iur.
2000
University of Durham, UK, Foreign Student Degree
Best Lawyers 2023 – 2026
Legal500 EMEA 2025: Next Generation Partner
Lexology Index – Banking 2021 – 2025
Lexology Index – Fintech & Blockchain 2021 – 2025
Lexology Index – Switzerland 2019 – 2025
IFLR1000 2024 – Highly Regarded
Legal500 EMEA 2024: Leading Individual
Lexology Index – Thought Leaders: Switzerland 2024
Legal500 EMEA 2023: Leading Individual
IFLR1000 2023 – Highly Regarded
Lexology Index – Thought Leaders: Switzerland 2023
Legal500 EMEA 2022: Next Generation Partner
IFLR1000 2022 – Highly Regarded
Legal500 EMEA 2021: Next Generation Partner
IFLR1000 2021 – Highly Regarded
Legal500 EMEA 2020: Next Generation Partner
IFLR1000 2020 – Notable Practicioner
Legal500 EMEA 2019: Next Generation Lawyer
Legal500 EMEA 2018: Next Generation Lawyer
Legal500 EMEA 2017: Next Generation Lawyer
- IBA International Bar Association
- Swiss Bar Association
- Zurich Bar Association
2016
Niederer Kraft Frey, Partner (since 2021 member of NKF’s Executive Committee)
2012
Wuersch & Gering LLP, New York, Foreign Associate
2008
Niederer Kraft Frey, Associate
2005
Law Faculty of the University of Zurich, Research and Teaching Assistant in Corporate Law and Capital Markets
2005
Admitted to the Swiss and Zurich Bar
2003
Zurich Law Firm, Trainee
2002
District Court of Zurich, Law Clerk
German
English