Nathalie F. Scott, Esq. - US LAWYER 

Member of the Florida Bar

Thu, 27 February 2020,

SEC Hot Topics for Swiss Advisers

What you need to know, and why

Change is happening. SEC registered Swiss advisers must comply with the U.S. Investment Advisers Act of 1940 and the rules thereunder. In this FREE presentation, we explore the hot topics for Swiss firms and set out what you need to know, and why.

  • Status of the moratorium on SEC registration
  • New Swiss laws and FINMA oversight
  • Consequences of FINMA-SEC information sharing and impact on RIAs
  • SEC compliance expectations
  • OCIE exams and enforcement hot topics
Register here | GenevaRegister here | Zürich

  • International Assistance in administrative, criminal and civil matters (DOJ / IRS / SEC)
  • RIA SEC registration, compliance, audits
  • Unblock / Unfreeze of Swiss bank accounts (tax and OFAC sanctions)
  • Company law, trusts, corporate governance

  • EB-5, E-2 visas
  • FATCA / AEOI - CRS (Common Reporting Standards)
  • Inheritance - Administration of successions Switzerland / US (trusts and wills) 
  • Renunciation of US citizenship or of US residence (green card)
  • Anti-corruption (FCPA - Foreign Corrupt Practices Act)


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Me Scott specializes in US law and financial services.


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