Independent Asset Management and Anti-Money Laundering – Duty of Due Diligence of the SAAM –Basic Seminar

Date, Time, Location

June 8, 2012, 10.00-16.30, Zunfthaus Schmiedstube, Bern

Target audience
Employe/e/s and auditors of Financial Intermediaries (FI), who are Member of the SAAM (obligatory for new staff and new SAAM members), employe/e/s of FI, who act as Asset Manager

Seminar ambition
The accurate application and compliance of the Code of Ethics and Professional Conduct, the Regulations Anti-Money Laundering SAAM (AML-R SAAM) and the legal requirements

Contents

1. Fundamentals of the Code of Ethics and Professional Conduct
   of the Independent Asset Management

2. Overview of the Swiss Anti-Money Laundering legislation

3. The Anti-Money Laundering regulation of the SAAM

• Duty of Due Diligence
• Duty of Clarify
• Delegation
• Duty to keep Records
• Organisational Measures
• Termination of the Business Relationship and Duty to Report

4. Case studies, exercises and solutions

5. The handling of regulations

• The penal Law
• The Anti-Money Laundering Act, AMLA

6. The consequences of the non-observance of the regulations

Consultant
Philippe Dové, lawyer, LL.M.
PD-CONSULTING GmbH

Brian Fischer, lawyer, Swiss tax expert
Bank Vontobel AG

Marion Bolli, business economist, CFP
Bank Vontobel AG

>> Seminar conditions