7a. IA – Compliance Passport: Perspective Beyond the U.S. Borders (Advanced)


This session will explore potential issues and processes Compliance must consider when a firm expands globally. Focus on the difference between advisory services and fund sales within each jurisdiction.

Learning Objectives:

  • Discuss the compliance requirements when firms do business with the following countries: United Kingdom, Ireland, South Africa, Dubai, Singapore, Hong Kong, Australia and Brazil (including MiFID implications).
  • Identify the primary regulatory authorities in each country to determine what firm and/or individual registrations or licenses must be obtained prior to initiating any business
  • Review the exemptions for cross border business (e.g. reverse solicitation, institutional clients, fund sales, purely advisory services, private placements)
  • Understand the implications of Brexit on marketing within and outside of the UK

Advanced                        Program Level: Date: October 20, 2020 Time: 2:00 pm - 3:15 pm Jenny Ljunghammar Anna Spector

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