SAAM Basic Seminar
Montag, 9 Sep 2019
13:30 – 17:30
SAAM Basic Seminar: Independent Asset Management, Anti-Money Laundering, Duty of Due Diligence of the SAAM and FinSA
• Overview of AML and the new challenges for Financial Intermediaries (FI)
• Duty of Due Diligence for Independent Asset Management according to the Code of Conduct of SAAM und FinSA
• Anti-Money Laundering regulation of the SAAM and AMLO-FINMA
– Duty of Due Diligence
– Duty of keeping records
– Organizational measures
– Termination of the business relationship
– Reporting to the Financial Intelligence Units (MROS) / goAML
• Consequences of non-compliance with regulations
• Practical exercises
Employees, who are involved with AML/FinSA subjects, employees of Anti-Money Laundering departments, Legal & Compliance, internal and external auditors, in particular SAAM members of External Asset Managers, Asset Managers, Collective Investment Schemes Companies as well as interested persons.
All participants receive a certificate, which serves as a training confirmation to supervisory authorities, audit companies, etc.