Licensing Process for Trustees - Practical Experience with FINMA and Supervisory Organizations
Wednesday, 08 September 2021
12.00 - 13.30
Andrea Huber is a Partner and member of Pestalozzi’s Financial Services Group specialising in banking and regulatory matters including FIDLEG, FINIG and FINFRAG, asset management /investment funds, fintech, capital market transactions, compliance and white-collar crime. She regularly represents clients in proceedings before the Swiss Financial Market Supervisory Authority FINMA, the SIX Swiss Exchange and the CDB Supervisory Board (VSB Aufsichtskommission). Andrea advises banks, asset managers, securities firms, investment companies and other financial services providers on all regulatory and legal aspects of their business operations, organisation and products and assists them in obtaining regulatory licenses and approvals.
Before joining Pestalozzi, Andrea has been working for major law firms for more than 13 years, most recently as Partner Banking & Finance.
Licensing Process for Trustees –
Practical Experience with FINMA and Supervisory Organizations
- Licensing process – summary
- Key issues related to organizational requirements
- Risk-based approach applied by FINMA
- FINMA practice on high-risk business models
- Pitfalls to avoid
Questions can be submitted by email in advance or asked during the lecture.
Webinar price CHF 40.00 Full Member
Webinar price CHF 30.00 STEP Students
Webinar price CHF 50.00 non-Member
1 ½ hour towards CPD obligation
Kindly Supported by