Cross-Border Compliance

Cross-Border Compliance

Barbara Ofner, cross-border specialist, KPMG representative
Alessandro Pompei Filippo, cross-border specialist at Mirabaud & Cie Ltd

In order to understand this topic, our speakers will present the risks associated with cross-border activities and what FINMA expects from financial institutions to manage these risks, including the following:

  • Definition and Introduction
  • Relevance of Cross-Border Banking
  • Swiss Legal & Regulatory Sources
  • Measures to comply with cross-border requirements,
    • In-depth risk analysis of cross-border risks
    • Strategic and organisational measures
    • Cross-Border Policy Framework (incl. Country Manuals)
    • Staff training
    • Travel concept as part of organizational measures
    • Cooperation with third parties (EAM, finders, etc.)
    • Escalation and sanction procedures
  • Risks and Sanctions

Regulatory Audit Cross-Border.