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Cooperation with third parties

April 1 - 10:30 am - 12:00 pm
CHF150

Cooperation with third parties

Webinar in English

Recognised for the SAQ recertification

The webinar aims at giving insights on the management of cross-border risks when cooperating with third parties (finders, business introducers and EAMs). It focuses in particular on the risks and challenges faced by financial intermediaries when collaborating cross-border with third parties in a jurisdiction they are not licensed in

 

 

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
  • 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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