Annual Compliance Training: Certified compliance training for SRIAA members
When
Jun 25, 8:30 AM – 12:00 PM
Where
Baur au Lac,
Talstrasse 1, 8001 Zürich, Switzerland

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. 

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Costs

Participation for SRIAA Members: free

Participation fee for Non-Members: CHF 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

© Swiss Registered Investment Advisor Association

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