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United Kingdom – Cross-border activities

May 8, 2024 - 10:30 am - 12:00 pm

CHF150.00
BRP REGORA Training - 2024.05.07_UK cross-border activities

United Kingdom –  Cross-border activities

Webinar in English

Recognised for recertification SAQ

UK cross-border rules governing financial promotion and advertising relating to banking and investment services, negotiation of financial services agreements, provision of banking and investment services, cooperation with third parties (finders, business introducers and EAMs), etc.

 

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

Regulatory Framework Governing
  • Banking services
  • Investment services (EA, Advisory, Discretionary)
Prospecting
  • Onboarding new clients
Negotiation
  • Account opening
  • Advisory and dicretionary asset management agreements
  • Debit and credit cards, Lombard loans
Provision of Services (EO, Advisory, Discretionary)
Distribution / Placement of Financial Products
Reporting activities
Cooperation with Third Parties
  • Finders
  • Business introducers
  • EAMs
  • Trustee activities
Case Studies (signature BRP)

 

For more information on this webinar, please contact us.

Details

Date:
May 8, 2024
Time:
10:30 am - 12:00 pm
Cost:
CHF150.00
Event Category:
Event Tags:
, , ,

Place

Online

Speakers

Aurélie Anciaux
Richard Mc Grand

Other

Language
English
Countries
United Kingdom
Topics
Cross border

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