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Cooperation with third parties

May 28, 2024 - 10:30 am - 12:00 pm
CHF150.00
REGORA Training - 2024.05.23_Cooperation with Third Parties

Cooperation with third parties – Cross-border aspects#

Webinar in EnglishRecognised for the SAQ recertification

The training aims to show how cross-border risks can be managed when cooperating with third parties. Types of activities: recommending clients, introduction of the custodian bank to foreign clients#

 

 

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#

Introduction
  • What are third parties?
  • What purposes do third parties serve?
  • The three typical forms of third parties used by banks
Use of Third Parties
  • Conditions for cooperation
  • Cooperation agreements
Cross-border Risks
  • Regulatory, Tax, Financial, Civil, Reputational, others
Risk Mitigation Measures
  • Cura in eligendo, contraendo et custodiendo
  • Knowledge and training
  • Independency of the parties
  • Scope of activities
  • Exclusivity clauses
  • Remuneration: ongoing vs one-off, conflicts of interests, etc.
Regulated Agents and Cooperation

 

For more information on this webinar, please contact us.

Details

Place

Speakers

Other

Language
English
Countries
Switzerland
Topics
Cross border

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