Compliance Finance

The “Anti-corruption” training course teaches the legal foundations and forms of corruption. Practical cases are used to learn how to apply the new knowledge.

Topics

• Warning signs and forms of corruption violations
• Differences between corruption and money laundering
• International regulations to combat corruption
• Corporate criminal liability
• Reporting obligations in the event of corruption violations
• Final test / certificate

Duration: 100 minutes

Certification: The Anti-Corruption Training is an SAQ-recognized training course.

Data protection concerns us all. On the one hand, we need to know how to protect the security of personal data and, on the other, that of the company.

With this training we want to sensitize you to the topic of data protection. It is about protecting your personal data, but also that of your employees and that of the company.

Contents

• Why data protection?
• What is protected?
• Data types
• Editing personal data
• Final test

Duration: 100 minutes

Certification: The CH DSG training is an SAQ-recognized training course.

This training course deepens your code of conduct, explains the legal basis and provides practical tips on the most important topics relating to business ethics and correct conduct.

Contents

• Principles of conduct and objectives
• Disregard and consequences
• Respect
• Integrity
• Fairness
• Confidentiality & data protection
• Bank client confidentiality
• Employee transactions
• Social media
• Sustainability/Environment
• Reporting procedure
• Test

Duration: 100 minutes

Certification: The Code of Conduct Training is an SAQ-recognized training course.

The “Crossborder Banking” training mainly covers the topics of risks and sanctions and focuses on the Swiss market. As with all our compliance training courses, there is a final test and a personal certificate upon successful completion. The training focuses on the Swiss market and was developed by our experts.

Contents

• Introduction
• Current developments
• Legal basis
• Legal risks and sanctions
• Final test

Duration: 100 minutes

Certification: The Crossborder Banking Training is an SAQ-recognized training course.

Data protection concerns us all. On the one hand, we need to know how to protect the security of personal data and, on the other, that of the company.

With this training we want to sensitize you to the topic of data protection. It is about protecting your personal data, but also that of your employees and that of the company.

Contents

• Why data protection?
• What is protected?
• Data types
• Editing personal data
• Final test

Duration: 100 minutes

Certification: The EU GDPR training is an SAQ-recognized training course.

Train your employees on the important FATCA (Foreign Account Tax Compliance Act) regulations. This training focuses on the impact of the Act on advisors and their clients.

Contents

• Requirements and consequences of FATCA for individuals and legal entities
• Impact on your work, the opening of customer relationships and your customers
• Data for the entry into force of FATCA within your bank
• Final test

Duration: 100 minutes

Certification: The FATCA training is recognized by SAQ.

Based on the award-winning learning design of our Financial Crime Prevention module, we train your employees online on the rules of the latest Financial Services Act FinSA (FIDLEG, LSFin)

The course uses a simple gamification approach to engage users and get them to achieve 100% proficiency. Of course, the learning success for each module is checked with a final test.

Contents

• Customer segmentation
• Duty to inform
• Appropriateness and suitability of financial services
• Documentation and accountability
• Transparency and diligence in customer orders
• Final test

Duration:

• 4 hours for participants with no prior knowledge
• 2 hours for experienced professionals taking this course for recertification

Certification: The FinSA (FIDLEG, LSFin) training is recognized by SAQ. The training is also recognized by regservices.ch for entry in the register of advisors.

In the “Antitrust law” training course, you will find out exactly what antitrust law is, which areas are affected by it, which restrictions on competition apply, what is meant by the abuse of a dominant market position, and what you can do to avoid or even actively prevent antitrust violations.

Contents

• Prohibition of cartels
• Horizontal agreements
• Vertical agreements
• Abuse of a dominant market position
• Merger of
• The company
• Antitrust violations and consequences
• Final test / certificate

Duration: 100 minutes

Certification: The antitrust law training is recognized by SAQ.

Contact notes are the written documentation of every contact between employees and customers or prospective customers. Regulatory and supervisory authorities expect complete and accurate records of interactions with clients.

Contents

• Why contact notes are important
• What information must be recorded
• How to create good contact notes
• Guidelines for contact notes
• Final test / certificate

Duration: 100 minutes

Certification: The contact notes training is a SAQ-recognized training course.

Training on the most important market conduct rules of FINMA. Important topics such as insider trading and market and price manipulation are explained and illustrated with practical examples.

Contents

• Legal and regulatory basis
• Insider regulations
• Market and price manipulation
• Background checks
• Case studies

Duration: 100 minutes

Certification: The market conduct rules training is an SAQ-recognized training course.

The main objective of MiFID II is to improve investor protection. MIFID II affects relationship managers, executives and clients alike. With the help of the training, you can prepare yourself reliably for the introduction.

Contents

• Suitability and appropriateness
• Consulting models
• Target market definition
• Best Execution
• Final test

Duration: 100 minutes

Certification: The MiFID II training is an SAQ-recognized training course.

This training teaches the basics of combating money laundering and terrorist financing, as well as the global standards and measures for compliance with due diligence, taking into account the “totally revised FINMA Money Laundering Ordinance”.

Contents

• Basics of the Money Laundering Act
• National and international laws
• Measures to detect and combat money laundering and terrorist financing
• Various duties of care and their correct compliance
• Reporting system
• Final test

Duration: 100 minutes

Certification: The AMLA/MLO training is a further training course recognized by SAQ.
Revision of the Anti-Money Laundering Act as of 1 January 2023

For our Compliance Finance Library customers, the updated version in 3 languages will be available for training on the Swiss Learning Hub from September.

Training on the most important market conduct rules of FINMA. Important topics such as insider trading and market and price manipulation are explained and illustrated with practical examples.

Contents

• What are sanctions
• Practical cases

Duration: 100 minutes

Certification: The sanctions violations training is a further training course recognized by SAQ.

Based on our award-winning learning design “Financial Crime Prevention”, Swiss Learning Hub AG has created an e-learning course on the CDB 20 – Agreement on the Swiss banks’ code of conduct with regard to the exercise of due diligence.

Your employees will learn the new CDB 20 rules in a fun way. The starting point of the training is the so-called “skyline” of a city of your choice. The trainees will learn the CDB 20 rules in various situations in the city using case studies.

They can test their knowledge on an ongoing basis and collect points in the process. These points flow directly into the fitness scoring of the learners and are evaluated at the end of the entire training course.

Contents

• Purpose and content of CDB 20
• Identification of the contractual partners (natural and legal persons)
• Determination of beneficial ownership
• Application of the forms (A, K, T, S, I)
• Prevention of aiding and abetting capital flight and tax evasion
• Final test

Duration: 100 minutes

Certification: The VSB training is a SAQ-recognized training course