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.
- 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
- Date:April 20, 2020
- Time:2:45 pm
2020 Spring Conference – April 20