Dr.

Doris Wohlschlaegl-Aschberger

 

Portrait

Dr. Doris Wohlschlägl-Aschberger
Banking and Capital Market Expert


Key Qualifications and Professional Experience
• In-depth knowledge and experience in compliance issues (including
AML compliance as well as fraud and corruption prevention) and
corporate governance issues.


• Sound experience in the following areas of activities: Regulation and
supervision of financial markets, and clearing and settlement systems,
Securities law and market rules (including market abuse regulations),
Regulation and supervision of securities market intermediaries and
financial institutions, Financial Authorities capacity building, Financial
Authorities organizational restructuring, Financial sector economics.


• Longstanding expertise in implementing EU Directives, such as ie ISD and
MiFID in markets as Austria and CEE (for market participants as well as
regulators) and others.


• In-depth knowledge how to regulate and supervise the financial sector, how
to implement EU Directives as well as how to design, implement and
maintain legal enforcement mechanisms and procedures, with specific
focus on emerging markets.


• Setting up and managing pension funds, investment funds and companies
and gather additional know-how especially in compliance, supervision, tax
and legal affairs.


• Longstanding experience and in-depth knowledge of law cases at court.


• Longstanding experience as trainer and lecturer at various universities and
training institutes.

Training skills

• EU Directives: MiFID, UCITS
• EU Directives: Market Abuse Directive, AML Directive
• EU / International: Basel II/III/IV
• Compliance issue: Corporate Governance, Compliance and Internal Audit
• Market Abuse: Insider Trading and Market Manipulation
• Legal and regulatory affairs and supervision, other legal issues
• Fraud and Cyber Crime, Corruption and Money Laundering
• Risk Management: Operational Risk
• Business English / Legal English

Publications


Wohlschlägl-Aschberger (Hg): MiFID II – Recht, Praxis, Perspektiven.
Frankfurt School Verlag 2018. A book on MiFID aspects.
Wohlschlägl-Aschberger (Hg): Geldwäscheprävention. Recht, Produkte,
Branchen. Frankfurt School Verlag 2017/2018. A book on Anti-Money-
Laundering Compliance focusing on many different industries in the
German speaking countries.
Wohlschlägl-Aschberger (Hg.): Bankgeschäft und Finanzmarkt.
Praxiswissen kompakt. Frankfurt School Verlag 2015. A book on Banking
and the Financial Market.
Wohlschlägl-Aschberger (Hg.): Praxiswissen Finanzinstrumente. Frankfurt
School Verlag 2013. A book on Financial Instruments.
Wohlschlägl-Aschberger (Hg.): Praxiswissen Geldwäsche. Frankfurt School
Verlag 2011. A book on Anti-Money-Laundering Compliance with focus
given on Germany.
Wohlschlägl-Aschberger (Hg.): Geldwäsche-Prävention. Praktische
Maßnahmen für die Unternehmensorganisation. Manz 2009. A book on
Anti-Money-Laundering Compliance with focus given on Austria.
Kalss/Perschl/Wohlschlägl-Aschberger: MiFID. Umsetzungsanleitung und
Umsetzungsprüfung für die Praxis von Banken und Sparkassen.
Finanzverlag 2007. A book on MiFID/Securities-Compliance with focus
given on Austria.