- Newsletter Q3/2021
Welcome to our regular quarterly newsletter covering a few of the more important updates and news coming from the SEC as relating to Switzerland, e.g. on the topic of cybersecurity.
- Gaps and Overlaps of SEC Regulations versus FIDLEG/FINIG: Are you ready?
Presentation to the Swiss Registered Advisors Association (SRIAA) of Switzerland, 21. September 2021
Presentation compares and contrasts the regulatory regimes of the U.S. and Switzerland, presents elements of FINSA / FINIA SEC RIAs already have covered due to the requirements of the SEC registration and the gaps that need to be filled – actions required.
Review of new Swiss regulatory regime and framework relating directly to asset managers, mapping against the SEC regulatory framework providing overview of commonalities, differences and gaps. Integration of U.S. and Swiss compliance requirements.
- Newsletter Q2/2021
For this Q2 quarterly newsletter we want to cover a few of the more important updates and news coming from the SEC as it likely relates to Switzerland.
- Newsletter Q1/2021
The SEC Division of Examinations (formerly OCIE) announced the 2021 Examination priorities on March 3, 2021, including a greater focus on climate related risks, such as business continuity plans in light of intensifying physical risks associated with the climate change.
- FINIA – Organisational requirements for Trustees
FINIA, The Swiss Financial Institutions Act, which came into force on the 1st January 2020, places Trustees under prudential regulation in Switzerland for the first time.
- Top Ten U.S. tax forms you Need to know
Article in Citywire magazine, November 2016
- The age of Automatic Information Exchange: Protection and security of Client information
GGi Insider Magazine, May 2016
- Pension, Retirement Planning and Saving for Americans in Switzerland
Presentation in Zurich, March 2016