SRA - FinSA & FinIA for External Asset Managers (EAM)

Date
02.06.2022
Horaire
18.00 - 20.30
Lieu
ZKB Atrium, Bahnhofstrasse 9, 8001 Zürich
Organisateur
Swiss Risk Association (SRA)
Flyer

The Swiss Risk Association (SRA) is a non-profit organisation and open forum for risk management and financial engineering. The SRA is organizing an event tailormade for External Asset Managers (EAM) as well as the custodian banks. The goal of this event is to share best practices and experiences between various practitioners.

Description:
The new Swiss Financial Services Act (FinSA) and Financial Institutions Act (FinIA) will impact the business of the External Asset Managers (EAM). Both the external asset managers and the custodian banks will have to adapt their current risk management framework. We will discuss what this means in practice for the EAM as well as for the banking side. 

Agenda:

  • The impact of the new Swiss Financial Services Act (FinSA) and Financial Institutions Act (FinIA) for Banks and EAMs. 
  • Possible concrete measures taken by banks to manage the collaboration with EAM and related surveillance of risks. 
  • What steps are taken by EAMs to manage the risks (e.g. Product Distribution, Investor Profiling, Suitability, conflict of interest, best execution, transparency of fees and reporting etc.)? 
  • The externalization (outsourcing) of risk management/compliance services.


Registration and further information:

https://www.swiss-risk.org/upcoming-events/finsa-eam