Alessandro Bizzozero

Andreas Hofmann

Rouven Salzmann

Peter Alder

Stefan Baumann

Alessandro Bizzozero Bizzozero & Partner S.A.
Andreas Hofmann LGT Bank
Rouven Salzmann LGT
Peter Alder Marcuard Heritage AG
Stefan Baumann Swisscomply
Jean-Pierre Colombara Swiss Risk Association
Event is Over
We're sorry, but all tickets sales have ended because the event is expired.

Summary

The new Swiss Financial Services Act (FinSA) and Financial Institutions Act (FinIA) will impact the business of the External Asset Managers (EAM). Both the external asset managers and the custodian banks will have to adapt their current risk management framework. We will discuss what this means in practice for the EAM  as well as for the banking side.

We will discuss:

  • The impact of the new Swiss Financial Services Act (FinSA) and Financial Institutions Act (FinIA) for EAMs and the Custody Banks.
  • Examples of organizational steps taken by banks to manage the collaboration with EAM and related surveillance of risks.
  • Possible steps taken by EAMs to manage the risks (e.g. Product Distribution, Investor Profiling, Suitability, conflict of interest, best execution, transparency of fees and reporting etc.)?
  • The externalization (outsourcing) of risk management/compliance services.

Presenters

Alessandro Bizzozero: Founder of BRP at Bizzozero & Partner S.A.
Andreas Hofmann: Head Governance EAM at LGT and Rouven Salzmann: Management Office at LGT Bank
Peter Alder: COO and Head of Compliance and member of the Group Executive Committee at Marcuard Heritage AG
Stefan Baumann: Partner of Swisscomply (Compliance & Risk Management outsourcing and advising services) for EAM
moderated by Jean-Pierre Colombara, board member at Swiss Risk Association

Agenda

18:00 Opening, Jean-Pierre Colombara, Kathrin-Anne Meier
18:05 Impact of the new FinSA and FinIA for EAM and Banks, Alessandro Bizzozero
18:20  EAM due diligence and risk rating, Andreas Hofmann, Rouven Salzmann
18:35  Risk management insights from a early mover, Peter Alder
18:50 Challenges in outsourcing compliance and risk management and the key role of an effective ICS, Stefan Baumann
19:05  Q&A, moderated by Jean-Pierre Colombara
19:30  networking apero, all
20:30 end

Chapter Event

In our chapter events – access for members only – we present one or more speakers to share knowledge, updates and best practices on a specific risk topic. In small groups of risk professionals you can exchange thoughts and test ideas. More on SRA chapters. This event is hosted by the chapter Non-Financial Risks (NFR).

 

  • FinSA & FinIA for External Asset Managers (EAM)
    2. June 2022
    18:00 - 20:30
Want to see restricted content for members?
Become a member today and enjoy full access to all presentations of our previous events. Register Login

Become a Member

Sign up today and enjoy our member benefits.

Read more

Membership for Companies

  • Nominate up to 2 representatives to be part of the exclusive “CRO Circle”.
  • Nominate up to 10 employees who enjoy the full benefits of individual membership.
  • 5 free entrances to our Swiss Risk Dinner events (worth 150.- CHF).
  • Free support and handling of your employee accounts.

 

Find out more