Beauftragte:r für den Schutz von Kundenfinanzinstrumenten und -geldern (Single/Safeguarding Officer)
Pursuant to Section 81 (5) WpHG, investment services companies must appoint an officer who is responsible for ensuring that the company complies with its obligations in relation to the protection of financial instruments and client funds.
What legal principles must the so-called Single or Safeguarding Officer observe? With whom and in what form may client funds be deposited or forwarded to whom? For what reasons and to what extent may the company agree to the debiting of client funds in favor of third parties?
As part of the certificate course
Officer for the protection of client financial instruments and funds (Single/Safeguarding Officer)
from March 11 to 12, 2025
you will receive an overview of the regulatory objective pursued with the function of the Single Officer, the obligation to appoint them, their organizational integration, their methodological working principles, their main areas of responsibility and the personal sanction risks associated with them.
It doesn't matter whether you already hold the role of commissioner or are taking on the role for the first time: Our experienced speakers will prepare you in a practical way to fulfill your tasks, deepen your knowledge, answer your questions and bring you up to date.
The course is also a useful further training measure for employees who support the representatives in their role.
As a participant, you can obtain the certificate “Representative for the protection of client financial instruments and funds”. The prerequisite for this is passing the online final exam (multiple choice) at the end of the course.
Management of the course:
Mark Hoßdorf | Senior Legal Counsel, Commerzbank AG
Hilmar Schwarz | Head of Compliance, Deutsche WertpapierService Bank AG
Kiriakos Vavelidis | Safeguarding Officer, Commerzbank AG
This is an event organized by Bank-Verlag. To register, please follow the link to the Bank-Verlag website.
Language: Please note that the seminar language is German.