Complimentary Briefing and Update

Change is happening. - SEC registered Swiss advisers must comply with the U.S. Investment Advisers Act of 1940 and the rules thereunder. In this FREE presentation, we explore the hot topics for Swiss firms and set out what you need to know, and why.

• Status of the moratorium on SEC registration
• New Swiss laws and FINMA oversight
• Consequences of FINMA-SEC information sharing and impact on RIAs
• SEC compliance expectations
• OCIE exams and enforcement hot topics

Learn from the experts

Valérie Menoud - Senior Associate, Lenz & Staehelin

Nathalie Scott, - Partner, Scott Legal

Mark Berman - CEO, CompliGlobe Ltd - Former U.S. Securities and Exchange Commission lawyer