Compliance and regulatory training for financial services’ providers
This training programme on compliance and regulatory essentials is intended for all financial services’ providers: wealth managers, bankers, trustees, compliance officers, and all professionals affiliated to a self-regulatory organisation (SRO). The courses included in this program are recognised by SAQ as recertification measures for the CWMA.
This 100% online programme is available 24/7 from anywhere and covers the topics indicated hereafter.The courses are available à la carte; based on your prior knowledge and the needs of your role, you can choose your topics!
– the Swiss law against money laundering and terrorism financing (anti-money laundering – AML)
– Market abuse
– International sanctions
– Conflicts of interests
– The Swiss Financial Services Act (Finsa)
– Cross-border regulations and governance
– FATCA
– GDPR
– Mifid II
– Ethics, culture and Conduct
All together this programme allows you to earn 12 SAQ credits for the CWMA recertification.
On a regular basis our programme is updated to reflect the latest evolutions of the applicable regulations.
Would you like to train your teams with a tailor-made programme ?
We are available to discuss your needs and see how this programme can be shortened, enriched, adjusted as much as you wish to fit your exact priorities. As an example, a dedicated program can be implemented for your new joiners or for a specific team. Please contact us for any question or to obtain a dedicated offer if you plan to train more than 5 individuals.
