February 27th 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
October 11th, 2019,
Nathalie Scott, Guest speaker at ARIF, Association Romande des Intermédiaires Financiers.
September 26th, 2019
Swiss American Chamber of Commerce.
Nathalie Scott meets US Ambassador Edward T. McMullen, Jr. at AmCham luncheon.