Cross-border financial serv - Lenz & Staehelin

Shelby R. du Pasquier / Philipp Fischer – Cross-border financial services in and from Switzerland GesKR 4 2010
ISO Swiss Insurance Supervision Ordinance
of November 9, 2005
KWG German Kreditwesengesetz
KYC Know your customer
Lugano Convention Lugano Convention of September 16,
1988 on jurisdiction and the enforcement
of judgments in civil and commercial
matters
MiFID Directive 2004/39/EC of the European
Parliament and of the Council of 21 April
2004 on markets in financial instruments
OECD Organization for Economic Cooperation
and Development
OECD Model Tax Model Tax Convention on Income and on
Convention on Capital published by the Organization
for Economic Cooperation and Development
OFAC U.S. Office of Foreign Assets Control
OPFI Swiss Federal Ordinance on Professional
Financial Intermediaries of November
18, 2009
PILA Swiss Private International Law Act of
December 18, 1987
QI Agreement Qualified Intermediary Agreement
Registration Act U.S. Private Fund Investment Advisors
Registration Act of 2010
SBA Swiss Bankers Association (the self-regulatory
organization of the Swiss banking
industry)
SCC Swiss Criminal Code of December 21,
1937
SCO Swiss Code of Obligations of March 30,
1911
SEC U.S. Securities and Exchange Commission
Securities Act U.S. Securities Act of 1933
SESTA Swiss Federal Act on Stock Exchanges
and Securities Trading of March 24, 1995
SESTO Swiss Ordinance on Stock Exchanges and
Securities Trading of December 2, 1996
SFA Swiss Funds Association (the self-regulatory
organization of the Swiss fund industry)
SFBC Swiss Federal Banking Commission,
which was replaced by the FINMA as of
January 1, 2009
SICAF Investment company with fixed capital
(société d’investissement à capital fixe)
SICAV Investment company with variable capital
(société d’investissement à capital
variable)
Swiss Unfair Competition Swiss Unfair Competition Act of Decem-
Act ber 19, 1986
TFEU Treaty on the Functioning of the European
Union
UCITS Directive Directive 2001/107/EC of the European
Parliament and of the Council of 21 January
2002 amending Council Directive
85/611/EEC on the coordination of laws,
regulations and administrative provisions
relating to undertakings for collective
investment in transferable securities
(UCITS)
USA United States of America
WTO World Trade Organization
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