WORKING GROUP 3
ASSET MANAGEMENT AND SECURITIES TRADING

Co-leaders

Jean-François Broquet
Maiko Günther

This group mainly deals with the following topics:

  • Definition of rules of conduct and practices applicable in Switzerland and abroad in the field of :
  • Insider trading, price manipulation, dissemination of false information, etc.
  • Supervision of stock exchange operations;
  • Monitoring of private, institutional and collective management
  • Investment funds (Code of Conduct of the Swiss Funds Association);
  • Requests for judicial and administrative assistance.
  • Summary of the means to be implemented within the financial intermediaries to cover the said rules and practices;
  • Code of Conduct or Code of Ethics;
  • Staff operations;
  • Conflicts of interest;
  • Design of best practices.

WG 3 meets every last Tuesday of the month from 16:30 to 18:30

Events

No Entries yet

News

No Entries yet

This site uses cookies

Cookies help us know you better an improve your navigation experience. you can change the cookiesettings for this site now, or later in the Contact/Legal mentions section. By continuing to browse the presentation you are agreeing to use of cookies.