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