Workshop: Trustee regulation in Switzerland

Friday, 13 March 2020
13.30 - 18.30


Hotel Glockenhof Zurich

Zurich Centre


Andrea HUBER, Attorney-at-law, LL.M. (Columbia), FINREG Legal, Regulatory & Compliance

Andrea Huber specializes in financial services, regulatory and fintech, and advises both in regulatory matters and transactions. Andrea regularly represents clients in proceedings before the Swiss Financial Market Supervisory Authority FINMA, the SIX Swiss Exchange and the CDB Supervisory Board (VSB Aufsichtskommission) and is the chairperson of an independent multi-family office that has been licensed by FINMA as CISA asset manager. Areas of legal expertise include banking, asset management/investment funds, regulatory including FIDLEG and FINIG, AML/KYC, FinTech, investigations, enforcement and white-collar crime.
Before founding FINREG Legal, Regulatory & Compliance, a boutique law firm assisting asset managers, fintech companies and other financial services providers in legal, regulatory and compliance topics, Andrea has been working for major law firms for more than 13 years, most recently as Partner Banking & Finance.

OLIVER WIDMER, Attorney-at-law, Solicitor of England & Wales (not practising), M.Sc., TEP, Partner, Pestalozzi Attorney at Law Ltd.

Oliver Widmer is a partner and a member of Pestalozzi’s Financial Services Group and the head of Pestalozzi's Private Clients Group. He primarily advises domestic and international banks, financial institutions, asset managers and high net worth individuals on banking, finance and capital markets matters, including regulatory FIDLEG, FINIG, FINFRAG matters.
Oliver also worked as head legal & compliance of the Swiss branch of a major US investment bank, he is a member of the admission and regulatory board of BX Swiss, an authorized representative at SIX, member of the ICC, STEP and other organisations.


WORKSHOP: Trustee regulation in Switzerland

The aim of the workshop is to discuss in small groups a case study regarding implementation of the new trustee regulation in Switzerland.
Specifically, the following topics will be discussed:
  • Trustee under the Federal Act on Financial Institutions (“FinIA): Scope and exemptions
  • Corporate governance aspects
  • Proper organization of a trustee
  • Licensing requirements
  • Regulatory duties of trustees under FinIA
  • Application of other laws such as Federal Act on Financial Services?
  • Pitfalls to avoid when applying for a license
  • Timeline and next steps

Case studies are discussed in small groups.
The speakers rotate and therefore all cases are dealt with in each group.
Each speaker will present his cases and discuss the possible solutions.
In order to benefit optimally from this workshop, you will receive the case studies in advance for studying.
At the end of the workshop, an aperitif will be served in the plenum and there will be time for networking.

CHF 160.00 STEP Members
CHF 90.00 STEP Students
CHF 210.00 non-Members

3 hours towards CPD obligation. Extra CPD credits can be obtained by reading through the accompanying study material.

Register by 11.03.2020

Kindly Supported by



Verein STEP Supporter



STEP Basel Supporter


Events Supporter - Zurich Centre