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In today’s global economy, many financial institutions are keen to consider various strategies to facilitate
cross-border retail marketing and sales of their financial products and services, particularly in promising new
markets. However, in doing so, financial institutions are well advised to ensure that their cross-border activities
are conducted in a compliant manner, prior to launching into such activities.
Financial services regulators around the world are increasingly proactive in regulating the cross-border
marketing and distribution activities of global financial institutions, thereby making it ever more critical for
companies to ensure that their employees are properly trained on the “do’s and don’ts” of their cross-border
marketing and sales activities. It also is critical that financial institutions put in place cross-border compliance
“checklists” for employees to review before proceeding with their activities into various markets and which, if
designed strategically and regularly updated, can also serve as an internal resource in support of ongoing
training and monitoring of their cross-border conduct.
Failure to do so raises risk of severe fines or penalties for the institution and / or the individual, highlighting the
need for compliance training and ongoing monitoring.
LawInContext has designed a comprehensive Cross-border Conduct E-learning Program to efficiently train
and test client advisors and other financial institution personnel on key cross-border conduct issues from a
global perspective (with integration of European Union focused content). This program offers to institutions a
cost-efficient and effective means for training employees either on a stand-alone basis or as part of a blended