T +31 (0)20 767 01 80
T +31 (0)20 767 01 83(direct)
M +31 (0)6 201 38 550
guido.roth@finnius.com

Guido Roth

Partner

Guido is specialized in providing assistance with (impending) financial regulatory law conflicts. In the past 20 years he represented many, various, market parties in investigations by DNB and the AFM and measures and sanctions imposed by them, including fines, orders subject to penalty payments and instructions. Guido acted as an attorney in several guiding and high-profile enforcement cases. Guido serves the wide range of regulated market parties, varying from banks, insurers, and investment institutions to trust offices, pension funds and accounting firms. In addition, he regularly advises executive directors and supervisory directors, also in relation to more strategic matters.

Guido has particular interest in and knowledge of decisions on publication, market abuse cases and testing of executive and supervisory directors “on” suitability and integrity by DNB and the AFM. He is also regularly involved in civil law or Kifid proceedings with respect to investment disputes and also in disciplinary proceedings.

Caribbean expertise

Guido regularly advises banks, insurers and other market parties that are operate in Curaçao, Aruba, Sint Maarten and Bonaire and represents these parties in administrative law proceedings against local supervisory authorities such as the Central Bank of Curaçao and Sint Maarten (CBCS) and the Central Bank of Aruba (CBA). Guido takes pride in litigating as effective and efficient as possible. Letting go of the case is never an option, unless the client wishes differently.

Guido started his career at the Netherlands Authority for the Financial Markets where he worked as a (senior) lawyer for 8 years. After that he worked at Spigthoff, Simmons & Simmons and Jones Day as attorney, respectively partner and counsel.

 

Activities and affiliations

  • Member of the Dutch Combined Commission Company law (Gecombineerde Commissie Vennootschapsrecht)
  • Part of the editorial office of a leading Dutch professional journal on company and financial regulatory law (Tijdschrift Ondernemingsrecht/Financieel recht)
  • Part of the editorial office of a Dutch professional journal on sanctions law (Tijdschrift voor Sanctierecht & Onderneming)
  • Regular annotator of a Dutch professional journal on case law (Jurisprudentie Onderneming & Recht)
  • Lecturer Grotius specialist course Securities law
  • Guest lecturer Radboud University and Leiden University
  • Chair of the Dutch Vigilance Committee that addresses financial supervisory issues (Stichting Waakzaamheid Financieel Toezicht)
  • Guido is a doctoral candidate of the Radboud University. His doctoral research pertains to the extent of legal protection against actions of supervisory authorities such as DNB and the AFM.