Session 5b. ALL – Cross Border Regulations

Conducting business in foreign countries and with foreign clients poses key difficulties that must be incorporated into or in addition to a U.S. compliance program.

Learning Objectives:

  • Assess economic sanctions and their magnitude on the firm’s investment process and client restrictions
  • Discuss the increased intensity and application of GDPR, Privacy and AML requirements
  • Understand risks of sanctions/fines by regulatory bodies, market exchanges and governments for non-compliance.
  • Review updates on MiFID II, BREXIT, European Securities and Markets Authority, Canadian Securities Administrators, Alternative Investment Fund Managers Directive, Regulation S, and other topical regulations