8d. IA/PF – Managing Compliance and Regulatory Requirements in Europe


This session will provide insights into offering advisory services and selling fund shares in the UK and the rest of Europe post Brexit. The panel will also cover legal and regulatory limitations for “onshoring” in an EU location.
Learning Objectives:
• Discuss the restrictions of institutional and individual investment advisory marketing services.
• Understand the basic requirements for offering UCITS and fund shares in the various regions/countries.
• Dissect Brexit and what it means for UK-based clients, execution dealers and counterspies, exchanges, and employees.
• Discuss the complications and implications of maintaining multiple country compliance programs – incorporate or segregate?

Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 3:30 pm - 4:45 pm

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org