Annual SEC-Compliance Training
Fr., 14. Okt.
|Zürich
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.
Time & Location
14. Okt. 2022, 15:00 – 17:30
Zürich, Talstrasse 1, 8001 Zürich, Schweiz
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 (https://www.wg-law.com/attorney/jake-brown/) holding this year's training again, with the four main categories which will be covered being:
Advertising, client solicitation and transactions with clients
Protecting client assets – including best execution, proxy voting, custody, fees and expenses, protection of data, etc.
Supervising your employees – including compliance program and code of ethics, insider trading, etc.