- This event has passed.
Australia – Cross-border activities
June 12, 2024 - 10:30 am - 12:00 pm
CHF225.00
Australia – Cross-border activities
Webinar in English
Recognised for recertification SAQ 
This training covers the regulatory framework for financial activities towards Australia from a third country including Australia’s cross-border rules governing financial promotion and advertising relating to banking and investment services, negotiation of financial services agreements, provision of banking and investment services, cooperation with third parties (finders, business introducers and EAMs), and data protection relevant risks and mitigation measures
The training is addressed to
Institution☒ Banks ☒ Securities firms ☒ Asset managers ☐ Trustees ☐ Managers of collective assets ☐ Fund management companies ☒ Client advisors ☐ Other financial intermediaries |
Fonction☒ Legal and Compliance ☒ Risk management ☐ Internal audit ☐ Central file ☒ Front ☐ Asset Management ☐ HR ☒ Marketing ☒ BoD ☐ Other |
|---|
Content
Regulatory Framework Governing
- Banking services
- Investment services (EO, Advisory, Discretionary)
Prospecting
- Onboarding new clients
Negotiation
- Account opening
- Advisory and Discretionary asset management agreements
- Debit and Credit cards, Lombard loans
Provision of services (EO, Advisory, Discretionary)
Distribution / Placement of Financial Products
Reporting activities
Cooperation with third parties
- Finders
- Business introducers
- EAMs
Data Protection
- Applicability of the Privacy Act and other regulations related to data protection
- Risks and risk mitigation measures
Case studies (Signature BRP)
For more information on this webinar, please contact us.
