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Cross-border Rules for US Clients
November 26, 2024 - 10:30 am - 12:00 pm
CHF150.00
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 |
Function☒ Legal and Compliance |
|---|
Content
> Offering of Banking Services
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- Dual Banking System
- Federal Regulation
- State Regulation
- Offshore Activities
> Securities Related Activities
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- 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 Rules 206(4)-1 under the Investment Advisers Act of 1940s
> Data Protection
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- Applicability of US Law
- Risks and Risk Mitigation Measures
For more information on this webinar, please contact us.
