Cross-border Rules for US clients

Cross-border rules for US clients

Webinar in English

The purpose of the course is to present the rules to be respected in the offer and exercise of financial activities towards US customers, taking into consideration financial regulations, advertising rules, and new data protection rules

The training is addressed to

Institution

☒ Banks
☒ Securities firms
☒ Asset managers
☒ Trustees
☐ Managers of collective assets
☐ Fund management companies
☒ Client advisors
☐ Other financial intermediaries

Function

☒ Legal and Compliance
☒ Risk management
☒ Internal audit
☐ Central file
☒ Front
☒ Asset Management
☐ HR
☒ Marketing
☒ BoD
☐ Other

Content

Offering of Banking services

> Dual Banking system

> Federal regulation

> State regulation

> Offshore activities

Securities related activities

> Common provisions for Advisory and Brokerage services

> Definition of US person

> Definition of Investment Adviser

> The Foreign Private Adviser Exemption

> Brokerage activities

> Exemptions for Brokerage activities

> SEC licence

Marketing Rule 206(4)-1 under the Investment Advisers Act of 1940s

Data protection

> Applicability of US law

> Risks and Risk mitigation measures

For more information on this webinar, please contact us.