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U.S. Compliance for Swiss Advisers June 2015


Tuesday, 16 June 2015 from 08:00 to 10:00 (PDT)

Ticket Information

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U.S. Compliance for Swiss Advisers Ended Free  

Event Details

SEC registered Swiss advisers must comply with the Investment Advisers Act of 1940 and the rules thereunder.  In this presentation, we set out what you need to know, and why.  we explain the details in steps that are easy to understand and implement.  Learn from former SEC lawyers what the SEC expects from you, not "what the law is" or "we know this better than most

Learn from the experts

Mr Plaze authored and oversaw the key rules affecting investment advisers
Mr Berman
is CEO of CompliGlobe, which works with more Swiss SEC advisers than any law firm or adviser

Topics to be covered include

  • Compliance: what the SEC expects from Swiss advisers
  • Written policies and procedures
  • CCO responsibil8ities and liability
  • annual review
  • Monitoring and testing
  • Enforcement trends: insider trading cases and expert networks
  • What do when the SEC examines      you
  • FCPA
Do you have questions about U.S. Compliance for Swiss Advisers June 2015? Contact CompliGlobe

When & Where

Am Schanzengraben 23

ZH 8002 Zurich

Tuesday, 16 June 2015 from 08:00 to 10:00 (PDT)

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About CompliGlobe

CompliGlobe is the only regulatory adviser based in multiple locations outside the United States that is dedicated to SEC regulation. For nearly ten years, we have advised dozens of firms world-wide on the compliance and regulatory implications of the US federal securities laws and SEC rules as they apply outside the United States


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