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