Dr. Mark Oliver Baumgarten

Dr. Mark Oliver Baumgarten

Dr. Mark Oliver Baumgarten

I have 20 years of experience as executive board member, business lawyer, management consultant and university lecturer. I have an in-depth broad knowledge in the areas of company law, corporate governance and compliance, stock exchange law and financial markets law. I can handle complex legal, compliance and strategy issues. I have high analytical and excellent communication competence and am determined, stress-resistant, focused and decisive, with proven project management, team leadership and interpersonal skills.

PROFESSIONAL ACTIVITIES

  • 2017–today Zurich University of Applied Sciences (ZHAW), School of Management and Law, lecturer on law, Winterthur
  • 2016–today BAUMGARTEN Consulting, Basel, owner, and Mercury Compliance attorneys-at-law, Zurich, lawyer and counsel
  • 2014–2015 Swiss Bankers Association (SBA), Basel, executive board member and head of the financial markets Switzerland department
  • 2007–2014 Staiger, Schwald & Partner attorneys-at-law, Zurich, lawyer, partner and head of banking, finance & capital markets department
  • 2004–2007 Schellenberg Wittmer attorneys-at-law, Zurich, lawyer and partner with banking & finance team
  • 1998–2004 Homburger attorneys-at-law, Zurich, banking & finance team, lawyer and associate
  • 1996–1997 Prager Dreifuss attorneys-at-law, Zurich, lawyer and associate

POLITICAL ENGAGEMENTS

  • Expert committee member “Economy/Finance” of the FDP.The Liberals Switzerland
  • Member of the Delegates Assembly of the FDP.The Liberals Switzerland (2014–2018)
  • Chairman of the Financial Control Board of residential municipality (2010–2014)
  • Head of party of residential municipality (FDP.The Liberals) (2006–2014)

MILITARY SERVICE

  • Captain, Air Force, assignments with an air force brigade staff and in Swiss Armed Forces Staff (2000–2009, thereafter retired)
  • Lieutenant, Air Force (1990)

SELECTED MEMBERSHIPS, COMMITTEES AND BOARDS

  • BeGlobe AG, Basel (chairman of the board of directors), purpose: sustainability projects planning in the areas of energy and agriculture (vertical farming)
  • Strongbox Capital AG, Zurich, (head compliance and risk), purpose: asset management
  • Fondation Bibliothèque militaire de Bâle (board member), purpose: operating the oldest and largest Swiss private military library, est. 1760
  • Saint Lazare International, Jerusalem (board member); Saint Lazare Holy Land, Jerusalem, (auditor), purpose: operating hospitals, lazarettos and nursing homes, charity
  • Association G2W as holder of the specialist research institution G2W Institute – Ecumenical Forum for Faith, Religion and Society in East and West, Zurich (board member)
  • europa forum lucerne, Lucerne (member of the supporter group)
  • Paulus Academy, Zurich (member of a philosophical salon)
  • Swiss Securities Post-Trade Council (chairman) (2014–2015)
  • economiesuisse (member of the legal committee) and member of various Swiss infrastructure committees (e.g., Board SWIFT Schweiz, Swiss Payments Council) (2014–2015)
  • SECA Swiss Private Equity & Corporate Finance association (member ) (2008–2014)
  • SFAMA Swiss Funds & Asset Management Association (member of the specialist committee Processes & Operations) (2006–2014)
  • AVIA-Luftwaffe, Société des officiers des Forces aériennes de Bâle (board member 1990–1998, delegate in the board of the Société Suisse des Officiers de Bâle 1991–1996)
  • Société Suisse de Zofingue (président de Bâle 1991; secrétaire central 1992–1993)
  • International Bar Association, London; Swiss Bar Association, Berne; Zurich bar Association, Zurich; Swiss Risk Association (SRA), Zurich (member)
  • Zürcher Volkswirtschaftliche Gesellschaft, Zurich; Statistisch-Volkswirtschaftliche Gesellschaft Basel, Basel (member)
  • Freiwillige Akademische Gesellschaft (FAG), Basel; GGG Basel, Basel; Schweizerisches Institut für Auslandforschung, Zurich; Antiquarische Gesellschaft in Zürich, Zurich (member)

SELECTED PUBLICATIONS AND PRESENTATIONS

  • Commentaries on the Swiss Financial Market Infrastructure Act (2019), the Swiss Stock Exchange Act (2007 and 2011) and the Swiss Merger Act (2005 and 2015), each co-author
  • “Switzerland: Tour d’horizon”, in: European American Business, An Official Publication of the European Council of American Chambers of Commerce (ECACC), May 2011, p. 78ss.
  • “The Right to Die? – Rechtliche Probleme um Sterben und Tod”, doctoral thesis, Basel (doctoral advisor Prof. Luzius Wildhaber), Peter Lang Inc. International Academic Publishers, ISBN 3-906764-23-0 (2nd ed. 2000, out-of-stock)

Banking and Financial Services, Corporate and Commercial, Mediation, Securities

2004–today Recognized representative of issuers at SIX Swiss Exchange, Zurich (for the product areas equity securities, bonds and derivatives)
1997–1998 University of Pennsylvania, Philadelphia, USA, Master of Laws (LL.M.)-studies (with specialization in international civil litigation, international finance and securities regulations)
1995 Doctorate (Dr. iur.) at University of Basel, and bar exam in the Canton of Basel-City
1992–1995 Traineeship in pharmaceutical industry, law clerkship with district court and traineeship in law firm as well as work on doctoral thesis
1992 Licentiate (lic. iur.) at University of Basel
1987–1992 Legal studies at the UC Berkeley School of Law (Boalt Hall) and at the University of Basel

English
St. Alban-Vorstadt 31
Basel

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