WORKING GROUP 3
ASSET MANAGEMENT AND SECURITIES TRADING

Co-leaders

Sébastien Rochat
Eric Bühler


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

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