Luxembourg – Cross-border Activities

Luxembourg – Cross-border Activities

Webinar in English

Recognised for the SAQ recertification

The training aims to present Luxembourg cross-border rules governing financial promotion and advertising relating to banking and investment services, negotiation of financial agreements, provision of banking and investment services, distribution and placement of financial products, cooperation with third parties, as well as data protection rules and related risks

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

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 and e-Banking

Provision of Services (EO, Advisory, Discretionary)

Distribution / Placement of Financial Products

Cooperation with third Parties

• • Finders
  • Business introducers
  • EAM

Reporting Activities

Data Protection

• • Applicability of EU GDPR and Luxembourg Act
  • Risks and risk mitigation measures

Case Studies (Signature BRP)

For more information on this webinar, please contact us.