Annual Compliance Training: Certified compliance training
When
Sep 17, 3:00 PM – 5:30 PM
Where
Webinar

About the Event

A number of annual SEC compliance matters like Annual Review, ADV etc. keep us all busy and caused some of our members to ask for support. To make Complaince Trainings more efficient for all of us, we at SRIAA started our Complaince Events, where SRIAA members get together every year to be updated and trained by an expert. This general training can then be complemented by your company's specifics and your internal procedures as needed. 

This year's training will be hosted by Jake Brown (Wuersch & Gering LLP). The training will qualify as the annual training that your staff needs to conduct, and it will be validated by SRIAA accordingly. 

To ensure that the event will take place despite possible future COVID-19 restrictions, we've decided to host this year's training in the form of a webinar. All registered attendees will receive the link to join the online training before the event. 

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Costs

Participation for SRIAA Members: free

Participation fee for Non-Members: CHF 375.- (instead of 750.-)

Agenda

• Chief Compliance Officer

• Compliance Manual

• Conflicts of Interest

• Duty to Supervise

• Personal Account Dealings

• SEC Trading Blotter

• Trade Errors

• Participating Affiliates

• Annual Review

• Marketing

• Advisory Fees

• Business Continuity Plan

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