Monika Roth

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Monika Roth (* 1951 ) is a Swiss lawyer , university professor and judge. She is an expert and author in the areas of compliance , corporate governance and financial market law .

Life

Monika Roth studied law at the University of Basel from 1971 to 1975 , where she graduated with a degree. In 1981 she passed the bar exam. In 1994 she received her diploma from the Swiss Banking School, in 2004 she was awarded a Dr. iur. PhD . From 1978 to 1984 she was a clerk and bankruptcy administrator at the civil court in Basel-Stadt and from 1984 to 1993 legal secretary of the Swiss Bankers Association, Basel. From 1993 to 1997 she was Deputy Director in a group management team at the Swiss Bank Corporation and from 1997 to 1998 she was Deputy Director and Head of Business Development at KPMG . From 1993 to 2011 she was a tax judge in the canton of Basel-Landschaft. She has worked as a criminal judge since 2000, and has been Vice-President of the criminal court in the canton of Basel-Landschaft since 2010. Since 1998 she has been a partner of Roth the matchmakers and the law firm Roth Schwarz Roth in Binningen (BL) as well as a partner in Fintegrity GmbH , Bern.

She has been a professor at the Lucerne University of Applied Sciences since 2007 . As head of studies, she is responsible for the Diploma of Advanced Studies (DAS) Compliance Management at the Institute for Financial Services Zug (IFZ). From 2007 to 2017 Roth was a member of the Board of Directors of Ethos Services AG , Geneva, from which she resigned under protest. She is a member of the compliance committee of the Swiss National Science Foundation and co-president of the initiative committee of the corporate responsibility initiative .

Roth has authored several books and numerous articles on compliance , corporate governance and financial market law. She is the author of numerous newspaper and magazine articles. a. regularly a column for the Luzerner Zeitung .

Publications (selection)

  • Compliance - the raw material of corporate social responsibility. Dike, Zurich 2014.
  • Investment advice and asset management (= in a nutshell ). Dike, Zurich 2013.
  • The triangular relationship between customer, bank and asset manager. Loyalty and due diligence in investment advice and asset management. 2nd edition, Dike, Zurich 2013 (1st edition 2007).
  • Competence and responsibility: non-compliance as a strategic risk. Dike, Zurich 2012.
  • Compliance (= in a nutshell ). Dike, Zurich 2011.
  • Compliance - a prerequisite for sustainable corporate management. A cross-industry and interdisciplinary handbook with case studies. Dike, Zurich 2010.
  • as editor: Close up on Compliance. Law, Morals and Risks - Close-ups on compliance management and governance issues. Dike, Zurich 2009.
  • The rules of private banking in Switzerland. Finance and Economy, Zurich 2009.
  • as editor: corporate governance and compliance. A case study with a glossary. Dike, Zurich 2009.
  • with Mario Erni: Regulation and Reputation. The Swiss financial center and the compliance of its companies. Dike, Zurich 2008.
  • Good corporate governance: Compliance as part of the internal control system. Dike, Zurich 2007.
  • Compliance as a further development and continuation of quality management (= To Do the Right Things Right ). Schulthess publishing house, Zurich 2003.

Web links

Individual evidence

  1. ↑ Leaving the Ethos Board of Trustees and the Board of Directors of Ethos Services. Ethos , Swiss Foundation for Sustainable Development, accessed on November 15, 2018 .
  2. ↑ Corporate Responsibility Initiative: Personalities. Retrieved August 2, 2020 .
  3. ↑ Prof. Dr. Monika Roth. Retrieved on November 15, 2018 (profile on the website of the Lucerne University of Applied Sciences and Arts ).
personal data
SURNAME Roth, Monika
BRIEF DESCRIPTION Swiss lawyer
DATE OF BIRTH 1951