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Volker 730

Volker Schmidt

Partner, Financial Services

Public Auditor

Frankfurt

+49 69 95941-128

vCard

Focus

  • Audits of financial statements according  to German GAAP, IFRS and US-GAAP
  • Audits according to Section § 89 Securities Trading Act
  • Internal Audits (Out- und Co-Sourcing)
  • Special investigations according to Section 44 Banking Act, Section 88 Securities Trading Act and Section 14 Investment Code
  • Advisory Services in regard to the implementation of regulatory requirements (MiFID II/MiFIR, MaRisk, MaComp, AML, Payment Services)
  • Client trainings

Financial Services Experiences

  • Retail Banking, Investment Banking
  • Investment Management Companies and Investment Funds (all types of assets)
  • Securities Brokers
  • Financial Services Institutions (Investment Services)
  • Payment Services Providers

Professional Assignments

  • Lectureship at Hochschule Aschaffenburg, faculty Economics & Law
  • Member of two working committee of the Institute of Public Auditors in Germany (i.e. Asset Management working committee; Securities Trading Act working committee).
  • Author of several articles regarding regulatory requirements with a focus on compliance function, investment services and minimum requirements for risk management (MaRisk)