Alessandro Bizzozero

Andreas Hofmann

Rouven Salzmann

Peter Alder

Stefan Baumann

Jean-Pierre Colombara

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
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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 and speeches
19:05 Q&A
19:30 networking drinks
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

Venue:  

Address:
ZKB Atrium, Bahnhofstrasse 9, 8001 Zürich, Switzerland

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