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Do., 21. Okt.



Annual SEC-Compliance Training

The annual compliance training is organized by SRIAA, under the guidance of and provided by Jake Brown from Wuersch & Gering LLP. Certification letters provided to confirmed attendees.

Registration is Closed
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Annual SEC-Compliance Training
Annual SEC-Compliance Training

Time & Location

21. Okt. 2021, 15:00 – 17:30 MESZ


About the event

Dear SRIAA Member

The time has come for our annual Securities and Exchange Commission Compliance Training!

We have the pleasure of having Jake Brown from Wuersch & Gering ( holding this year's training again, with the four main categories which will be covered being:

  1. Advertising, client solicitation and transactions with clients
  2. Protecting client assets – including best execution, proxy voting, custody, fees and expenses, protection of data, etc.
  3. Supervising your employees – including compliance program and code of ethics, insider trading, etc.
  4. SEC oversight – required public filings, recordkeeping, SEC audit

The training will take place digitally via ZOOM on the following date and time:

Date:                     21st October 2021

Start time:          15.00 CET

End time:             17.30 CET

The Zoom link for the participation will be sent to the participants prior to the event. Attendance is free of charge for SRIAA Members, and costs CHF 375.- per attendee for non-SRIAA Members.

A certificate will be issued to all participants of the compliance training. For this purpose, we will use an attendance list generated through ZOOM where we will have an overview of who participated in the webinar and for how long. Please be sure that you register correctly and that you take part in the entire webinar.

Please let us know if you have any questions. We will send email reminders prior to the webinar.

To register for the event, please use the registration button on this page.

Kind regards,

Your SRIAA Team

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