18 Mar New Financial Services Compliance Programme
18.03.16 – HSW Legal act as course leaders and expert lecturers for the learning module „Product and Distribution Compliance“ within the new certificate course „Financial Services Compliance“ organised between 25 April 2016 and 29 June 2016 by Fund Academy AG in cooperation with IfFP Institut für Finanzplanung AG, Zurich.
Together with other leading practitioners and industry experts the partners of HSW Legal will teach the participants the regulatory and legal fundamentals and practical knowledge relevant to their daily business. The emphasis of the programme is on conduct and organisational rules currently applicable to various financial services providers in Switzerland as well as on the rules governing cross-border financial services, with a particular focus on the distribution of financial instruments. The programme is also aimed to enhance the course participants’ awareness of the new financial market architecture in Switzerland, enabling them to identify and assess, at an early stage, the ramifications on their business of proposed new legislation (in particular the Financial Services Act and Financial Institutions Act). Another subject of the programme will be tax compliance in fund and asset management, including the automatic exchange of information (AEOI).
The module „Product and Distribution Compliance“ is directed to professionals of all levels working in Legal & Compliance or in a product management or client-facing function at a bank, insurance company, asset management firm or any other regulated financial intermediary in the Fund & Asset Management industry. A second learning module „AMLA-Compliance“ of the programme covers anti-money laundering and combating terrorist financing and is aimed specifically at financial intermediaries subject to the Swiss Federal Anti-Money Laundering Act.
Download: Broschure IfFP (in German)