PD-CONSULTING GMBH
Länggass-Strasse 7
Postfach
3001 Bern
Tel. +41 31 301 93 93
CHE-104.902.592 MWST

Seminar C3.1E

Independent Asset Management, Anti-Money Laundering, Duty of Due Diligence of the SAAM – Basic Seminar

Date, Time, Location
September 11, 2019, 13.00-17.30 PM, Hotel Glockenhof, Zürich

Target audience
Employe/e/s and auditors of Financial ntermediaries (FI), who are member of the SAAM and employe/e/s of FI, who act as Asset Manager. This seminar is appropriate for new SAAM members and new employees of SAAM members.

Seminar ambition
The accurate application and compliance of the Swiss Code of Conduct, the Anti-Money Laundering regulation of the SAAM (AML-R SAAM) and the relevant legal requirements.

Contents
1. The implementation of the Swiss Code of Conduct for
    Independent Asset Management 2017, new challenges for FI
    with respect to FinSA and FinIA

2. Overview of the Swiss Anti-Money Laundering Legislation,
    revision of the AML provisions

3. Anti-Money Laundering regulation 2017 of the SAAM:

  • Duty of due diligence
  • Duty to keep records 
  • Organisational measures
  • Termination of the business relationship and duty to report

4. Case studies, exercises and solutions

5. The handling of relevant regulations for asset managers:

  • in the Penal Law
  • in the Anti-Money Laundering Act, AMLA 

6. Consequences of the nonobservance of the regulations

 

Consultants
Philippe Dové, attorney-at-law, LL.M., PD-CONSULTING GmbH
Second specialized consultant

 

>> Seminar conditions

 

Last registration date: 09.09.2019

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