Intro­duc­tion:

  • Def­i­n­i­tion „finan­cial ser­vices“ / dis­tinc­tion from the „offer“ con­cept / dis­tinc­tion from „adver­tis­ing“ (spe­cial focus on dis­tri­b­u­tion of invest­ment funds, new­ly “offer”)
  • Finan­cial instruments
  • Client seg­men­ta­tion; opt­ing-in / opting-out

40’

Rules of Con­duct in the nar­row­er sense (pur­suant to art. 7–19 FINSA)

  • Duty to pro­vide information
  • Appro­pri­ate­ness and suit­abil­i­ty test for invest­ment advice or port­fo­lio management
  • Doc­u­men­ta­tion and ren­der­ing of account
  • Trans­paren­cy and care in client orders; incl. best execution

60’

Con­flicts of inter­est (par­tic­u­lar­ly own-account trans­ac­tions and retrocessions)

30’

COF­FEE BREAK

[15’]

Intro­duc­tion to the Reg­is­ter of Advis­ers; par­tic­u­lar­ly adviser’s duties

20’

Finan­cial Insti­tu­tions Act (FINIA): Intro­duc­tion / activ­i­ties which require authorization

20’

Ombudsman’s Office

15’

Agency mat­ters (Code of Obligations)

15’

Col­lec­tive Invest­ment Schemes Act: par­tic­u­lar pro­vi­sions on for­eign col­lec­tive invest­ment schemes

20’

Prospec­tus and Key Infor­ma­tion Doc­u­ment (KID)

20’

Q&A

30’

Total (break not included)

270’

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COURSE OFFERING of AvelaLaw AG – Initial Training / Refresher Course for Client Advisers in the Field of Rules of Conduct according to FINSA

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