E-LEARNING CATALOGUE : simplebooklet.com

CATALOGUE OVERVIEW CHAPTERS ABOUT OUR E LEARNING SAQ RECERTIFICATION CROSS BORDER COURSES CROSS BORDER FOUNDATION CROSS BORDER FOUNDATION EEA CROSS BORDER COUNTRY SPECIFIC CROSS BORDER PRODUCT PLACEMENT CULTURAL PILLS UK DOMICILED TAX REGIME CROSS BORDER TAX UK RESIDENT NON DOMICILED RND CROSS BORDER TAX GERMANY COMPLIANCE COURSES ANTI MONEY LAUNDERING AML INTERNATIONAL ANTI MONEY LAUNDERING AML FOUNDATION REPORTING TO MROS SECO BRIBERY MARKET ABUSE MARKET ABUSE EUROPE NEW FEDERAL ACT ON DATA PROTECTION FADP GENERAL DATA PROTECTION REGULATION GDPR INTERNATIONAL SANCTIONS FINANCIAL SERVICES ACT FINSA FINANCIAL SERVICES ACT FINSA ADVANCED EXERCISES REFRESHER COMPLIANCE IN CREDITS FOREIGN ACCOUNT TAX COMPLIANCE ACT FATCA AUTOMATIC EXCHANGE OF INFORMATION AEOI CRS QUALIFIED INTERMEDIARY REGIME QI INTRODUCTION TO DIGITAL ASSETS ISLAMIC FINANCE e Learning Catalogue www indigita ch PAGE 3 4 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 1

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ABOUT OUR E LEARNING We work in close collaboration with BRP Bizzozero and Partners SA Centro Studi Villa Negroni ALMA Impact and Institute for Studies in Finance Banking ISFB Together we build on each other s expertise This enables us to provide guidance and structured answers on cross border and compliance topics for a broad range of financial activities Our e Learning concept is unique combining innovative approach technology and tailor made services Continuously updated Customisable Certification readiness Gamification Software as a Service SaaS or deployed on your system We can adapt to your requirements On our cloud Our e Learning courses and quizzes can be accessed through our online platform You can track the progress of your team members and verify who follows specific course On your internal LMS Our e Learning courses and quizzes can be installed on the client s LMS You can track the progress of your team members and verify who follows specific course OUR E LEARNING PARTNERS e Learning Catalogue www indigita ch 3

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SAQ RECERTIFICATION Indigita e Learning compliance courses are recognised by SAQ Swiss Association for Quality and allow client advisors to earn credits towards their professional recertification with the SAQ SAQ acts as a neutral and independent body for the certification of financial professionals By obtaining the SAQ certificate client advisors demonstrate that they have acquired the expertise and practical skills required to operate in their role The SAQ certificate is considered a Swiss standard and remains valid for three years After this period client advisors can apply for recertification by completing a certain number of training hours to ensure their professional knowledge remains up to date Thanks to the recognition by SAQ a range of our popular e Learning compliance courses is eligible to count towards recertification COURSE NAME Financial Services Act FinSA advanced 11 Modules Financial Services Act FinSA Advanced Exercises Anti Money Laundering AML Foundation Fraudulent Instructions Operational Risks The new Federal Act on Data Protection FADP Anti Money Laundering AML International Market Abuse General Data Protection Regulation GDPR Automatic Exchange of Information AEOI CRS International Sanctions Bribery Islamic Finance Foreign Account Tax Compliance Act FATCA Qualified Intermediary Regime QI Compliance in Credits Introduction to Digital Assets ESG Cybersecurity for Financial Institutions e Learning Catalogue www indigita ch DURATION IN HOURS SAQ credits 5h 2h 1h 1h 1h 1h 0 75h 0 75h 0 75h 0 75h 0 75h 0 75h 0 75h 0 75h 0 75h 0 75h 0 75h 0 75h 0 75h 4

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Cross Border Foundation Cross Border Country Specific Cross Border Product Placement 0 75h 0 75h 0 50h We are continuously expanding the line of SAQ recognised e Learning courses which form part of Indigita s broad offering of cross border compliance training for financial institutions e Learning Catalogue www indigita ch 5

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CROSS BORDER FOUNDATION Before acting toward this type of clientele all employees of banks and external asset managers should be aware of general rules and internal policies concerning cross border activities Definitions and most important principles Main risks Most frequent day to day challenges Optional internal cross border framework and business travel requirements TIME Approximately 45 minutes TARGET AUDIENCE All employees who may come in contact with clients and or prospects PREREQUISITES None ASSESSMENT Formal assessment consisting of 10 multiple choice questions with a passing grade of 80 CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 7

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CROSS BORDER FOUNDATION EEA Before acting toward this type of clientele all employees of banks and external asset managers should be aware of general rules and internal policies concerning cross border activities within the EEA countries Definitions and most important principles Main risks Most frequent day to day challenges Optional internal cross border framework and business travel requirements internal policies concerning cross border business TIME Approximately 20 minutes TARGET AUDIENCE All employees who may come in contact with clients and or prospects domiciled in the EEA PREREQUISITES None ASSESSMENT Formal assessment consisting of 10 multiple choice questions with a passing grade of 80 CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English e Learning Catalogue www indigita ch 8

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CROSS BORDER COUNTRY SPECIFIC The course focuses on promoting the specific knowledge on Cross Border regulations For each country the course provides simulations based on situations covered by the BRP Country Manual Prospecting Negotiation Additional Services Marketing Reporting Executing TIME Approximately 45 minutes TARGET AUDIENCE Anyone who may come in contact with clients and or prospects PREREQUISITES None although completion of the Cross Border Foundation course is recommended ASSESSMENT A formal assessment consisting of 15 multiple choice questions CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English For SAQ certification the formal assessment consists of 20 multiple choice questions Every test which requires a passing grade of 80 is unique and based on a pool of 400 questions derived from the country specific manuals of BRP Bizzozero Partners SA SAQ CERTIFICATION The SAQ recognition means Indigita s cross border eLearning courses for private banking are now eligible to count towards recertification DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 9

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CROSS BORDER PRODUCT PLACEMENT For client advisors it is crucial to know if a financial product can be advertised recommended sold or distributed to a client domiciled in a specific country Based on the industry leading cross border knowledge found in the BRP Country Manuals the courses on product placement cover 200 jurisdictions and allow financial professionals to gain a solid understanding of the various rules that need to be applied The theory part of the trainings explains the key concepts and main definitions for each specific jurisdiction as they relate to private banking activities product registration and pre trade documentation for clients The courses are designed in an interactive way and take into account different types of mandates such as execution only advisory and discretionary illustrating various scenarios and providing detailed information based on activity type initiating party solicitation investor type and the actual financial product TIME Approximately 30 minutes TARGET AUDIENCE PREREQUISITES Anyone who may come in contact Completion of the Cross with clients and or prospects Border Country Specific course ASSESSMENT Formal assessment consisting of 10 multiple choice questions with a passing grade of 80 based on a pool of 30 questions CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 50h e Learning Catalogue www indigita ch 10

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CULTURAL PILLS COURSES Cultural Pills is a series of online trainings on cross cultural competence and business etiquette The short and to the point trainings equip financial professionals with crucial knowledge on how to properly interact with clients and prospects from different cultural backgrounds Each of these cultures comes with its distinct norms behaviours and etiquettes in regard to communication and how business is done For relationship managers and financial advisors it is vital to have an adequate level of cross cultural and social competence in order to successfully work with clients and prospects across borders To help financial professionals acquire the knowledge necessary to handle cross cultural business relationships Indigita has launched a series of compact online courses called Cultural Pills Each course is addressing the culture of a specific country and features three main chapters Behaviour general cultural values and traditions types and formats of greeting nuances of nonverbal communication and body language as well as entertainment Meetings how to conduct business and corporate meetings appropriate topics to speak about how to approach interlocutors and maintain a pleasant and fruitful conversation as well as the etiquette around giving and receiving gifts Taboos topics and actions which should be avoided TIME Approximately 20 minutes per module TARGET AUDIENCE Anyone who may come in contact with clients and or prospects PREREQUISITES None ASSESSMENT None CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English e Learning Catalogue www indigita ch 11

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THE UK DOMICILED TAX REGIME For financial professionals dealing with UK residents up to date knowledge of the UK Domiciled Tax Regime is vital to conduct their business in a compliant manner provide sound advice and act in the best interest of their clients Developed in collaboration with BRP Tax SA the training teaches the skills needed to ensure compliance with the UK regulations guidelines and directives as well as cross border rules The online training is structured in six chapters and provides a detailed overview of the UK Domiciled Tax Regime covering the following aspects Tax principles of UK tax law with reference to Her Majesty s Revenue and Customs HMRC and Statutory Residence Test SRT Taxation of income such as capital gains dividends and other income including definitions and formulas for deductible fees and losses of Deeply Discounted Securities DDS and Excluded Indexed Security EIS Inheritance Tax IHT gift tax and other specific taxes Anti avoidance rules in the framework of the European Anti Tax Avoidance Directive ATAD and domestic legislation Structured investment strategies including life insurance bonds trusts family and charitable foundations and self invested personal pension schemes SIPP Taxation of financial products such as structured products and investment funds with a distinction between different sources of income and product types TIME Approximately 40 minutes TARGET AUDIENCE All employees of compliance legal and risk management internal audit general secretariat PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English e Learning Catalogue www indigita ch 12

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CROSS BORDER TAX UK RESIDENT NON DOMICILED RND The course begins with a general overview of the UK tax regime for non domiciled persons and explains the difference between tax residence and tax domicile It continues by describing the income tax regimes for UK non domiciled individuals and explains the distinction between the Arising Basis regime and the Remittance Basis regime The training also highlights the importance of creating segregated accounts for different types of income to enable tax free remittances The course then looks at specific tax scenarios and explains how tax rules apply if an income originates from a life insurance bond or when the creation of trusts and foundations is involved The training rounds up with an explanation of the tax treatment for different financial products such as loans equities bonds derivatives investment funds crypto assets and others and concludes with a series of knowledge checks to assess participants learning progress for the different modules TIME Approximately 40 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English e Learning Catalogue www indigita ch 13

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CROSS BORDER TAX GERMANY The new online training on German cross border taxation is aimed at financial professionals working with individuals who are considered tax residents in Germany Course participants will gain a comprehensive overview of private client taxation rules with an emphasis on the tax treatment of different financial products The training is structured into five comprehensive chapters and starts with an introduction to the fundamental principles of German taxation Participants learn about the criteria to determine whether an individual is considered a German resident from a tax point of view In a subsequent chapter on the taxation of income the course outlines the different categories of income and takes a detailed look at the tax impact of private assets linked to financial instruments TIME Approximately 40 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English e Learning Catalogue www indigita ch 14

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ANTI MONEY LAUNDERING AML INTERNATIONAL The AML International course focuses on AML rules and frameworks ensures the compliance and transparency of business relationships and stays in line with regulations The course aims to provide knowledge on the following topics AML definitions and principles in an international context AML Framework at State and Entry Level AML Due Diligence and Reporting Requirements Politically Exposed Persons PEP High risk business relationships and transactions Duty of Documentation Asset freeze and Sanctions compliance TIME Approximately 45 minutes TARGET AUDIENCE PREREQUISITES All employees and new joiners None in financial institutions ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 16

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ANTI MONEY LAUNDERING AML FOUNDATION The course must be taken before approaching the AML Learning Path This program focuses on promoting knowledge on basic concepts on AML and CDB 2020 regulations The course aims to provide basic knowledge on following topics AML and CDB definitions Regulation framework Sanctions regimes Tax offences Know Your Customer KYC Know Your Transactions KYT TIME Approximately 60 minutes TARGET AUDIENCE All employees and new joiners in financial institutions and intermediaries PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English German French and Italian DURATION IN HOURS SAQ credits 1h e Learning Catalogue www indigita ch 17

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REPORTING to MROS SECO The course focuses on the duty to report to the Money Laundering Reporting Office Switzerland MROS based on the Anti Money Laundering Act AMLA and provides an overview on other duties and rights to report to MROS and the State Secretariat of Economic Affairs SECO in the domains of anti money laundering and sanctions Additionally the course showcases the different scenarios where the duty to report arises and the consequences of violating this duty including administrative measures and or criminal sanctions depending on the case The online course is highly interactive combining theory with different case studies and videos inspired by real cases and concludes with a final assessment to check the participants learning progress TIME Approximately 90 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION LANGUAGE Upon completion participants will English earn a certificate e Learning Catalogue www indigita ch 18

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BRIBERY The course provides professionals at banks and external asset managers operating in Switzerland with crucial knowledge on how to prevent detect and mitigate risks associated with corruption It explains the different shapes of bribery and corruption that may occur in relationships with officials as well as private persons and outlines the associated risks and legal consequences The content of the training draws on the trusted financial regulations expertise of BRP Bizzozero Partners SA as well as ISFB s 33 years of experience in building courses and is based on current Swiss legislation and case law The course consists of seven chapters Overview Corruption A Serious Risk Factor for financial intermediaries Money Laundering and Complicity Risks Decisions of the Federal Supreme Court Duty to File a Report with MROS Inadequate Organization Compliance TIME Approximately 45 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 19

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MARKET ABUSE This course focuses on promoting knowledge on FMIA art 142 154 insider trading FMIA art 143 155 Market Price manipulation and FINMA Circular 13 8 The course provides an overview of definitions and concepts of Market Abuse and it clarifies the relationship between the FMIA and the FINMA Circular 13 8 through following chapters Legal basis Definitions and Concepts Legal framework Impacted persons and entities Sanctions Money Laundering Obligations TIME Approximately 25 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English French and Italian DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 20

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MARKET ABUSE EUROPE The new course on Market Abuse in the European context clarifies the concepts outlined by EU regulation 596 2014 on Market Abuse and by EU Directive 2014 57 EC on criminal sanctions for Market Abuse The training focuses on the main obligations to prevent Market Abuse under European legislation including issuer disclosure requirements art 17 MAR establishing maintaining effective prevention and detection arrangements systems and procedures art 16 MAR filing suspicious transaction and order reports art 16 MAR notification of managers transactions and drawing up of insider lists art 18 19 MAR The course complements the previous Market Abuse online course and it is intended for any person or company trading with financial instruments TIME Approximately 45 minutes TARGET AUDIENCE Any person or company trading with financial instruments PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English e Learning Catalogue www indigita ch 21

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NEW FEDERAL ACT ON DATA PROTECTION FADP The online training is designed to educate financial professionals on the new Swiss framework for data protection and explains core definitions and concepts as well as the position of FINMA on the topic The training addresses the new Swiss Federal Act on Data Protection nFADP which affects all legal entities that process personal data in Switzerland as well as foreign companies that process data of Swiss domiciled individuals Participants will learn about the new measures companies need to implement by 1 September 2023 and the potential impact these new measures will have on organisations such as banks The course also highlights the main differences between nFADP and GDPR before closing with the presentation of several business cases that require the application of nFADP and the corresponding ordinance TIME Approximately 60 minutes TARGET AUDIENCE PREREQUISITES All employees working in financial None institutions ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION LANGUAGE Upon completion participants will English German French and earn a certificate Italian DURATION IN HOURS SAQ credits 1h e Learning Catalogue www indigita ch 22

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GENERAL DATA PROTECTION REGULATION GDPR The course provides participants with clear and structured guidance on the GDPR framework which applies in addition to the Swiss law on data protection and enables them to mitigate legal financial and reputational risks which can result from collecting and processing personal information from EU residents The online training covers the main definitions and principles of GDPR its area of applicability and the impact on different types of organisations Participants learn about the different categories of data and how to handle personal data of EU residents in a compliant way The course also explains the legal responsibilities of companies including mandatory reporting requirements the risks and penalties in case of a violation of the law and the rights of individuals related to their personal data TIME Approximately 45 minutes TARGET AUDIENCE Professionals working in general management compliance legal sales marketing HR and customer support PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 23

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INTERNATIONAL SANCTIONS The course mainly outlines the Swiss sanctions regime In addition it gives an overview of how Swiss banks and external asset managers are impacted by sanctions issued by the United Nations the European Union and the United States Participants will learn about Key terms and different nature and types of sanctions possible reasons for sanctions as well as the contexts in which they are typically applied The different target groups for sanctions including individuals legal entities states and countries In addition the training covers the potential risks and legal impact for financial institutions in case the Swiss sanctions regime is violated TIME Approximately 45 minutes TARGET AUDIENCE Employees working in compliance risk and legal as well as front office roles PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 24

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FINANCIAL SERVICES ACT FINSA ADVANCED FinSA requires financial professionals who seek to be listed in a Swiss register of financial advisors to provide proof of their knowledge about existing regulations The training is tailored to this requirement and is recognised by FINMA licensed certifying bodies It is also aimed at employees from different functional areas who need to possess extensive knowledge of current regulations The course covers a comprehensive list of subjects with deep dives into the topics of General Introduction to FinSA 20 mins Scope of Application 30 mins Client Segmentation and Onboarding 30 mins Information Duty 30 mins Appropriateness and Suitability 30 mins Documentation and Rendering of Account 30 mins Transparency and Care in Client Orders 30 mins Offering of Financial Instruments 30 mins Civil Administrative and Criminal Procedures 30 mins Organisational Measures and Conflict of Interests 30 mins Client Advisers 30 mins TIME Approximately 30 minutes per module TARGET AUDIENCE Client advisors of domestic and foreign financial institutions All employees of compliance legal and risk management internal audit and operational staff PREREQUISITES None ASSESSMENT Formal assessment consisting of 10 questions per module with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate recognised by FINMA licensed certifying bodies LANGUAGE English DURATION IN HOURS SAQ credits 5h e Learning Catalogue www indigita ch 25

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FINANCIAL SERVICES ACT FINSA ADVANCED EXERCISES REFRESHER FinSA requires financial professionals who seek to be listed in a Swiss register of financial advisors to provide proof of their knowledge about existing regulations The training is tailored to these requirements i e Art 6 Art 22 Art 28 and Art 29 of Financial Services Act FinSA for foreign and domestic client advisors and is recognised by FINMA licensed certifying bodies It is also aimed at employees from different functional areas who need to possess extensive knowledge of current regulations The course aims to refresh the knowledge acquired through the main course FinSA Advanced by proposing a booklet and 12 specific business cases TIME Approximately 120 minutes TARGET AUDIENCE Client advisors of domestic and foreign financial institutions All employees of compliance legal and risk management internal audit and operational staff PREREQUISITES FinSA Advanced course all 11 modules must be completed before taking these exercises ASSESSMENT Obtain a passing grade of 75 on all 12 business cases CERTIFICATION Upon completion participants will earn a certificate recognised by FINMA licensed certifying bodies LANGUAGE English DURATION IN HOURS SAQ credits 2h e Learning Catalogue www indigita ch 26

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COMPLIANCE IN CREDITS The course enables Swiss banks to train employees working in credit related functions on the mitigation of administrative legal and criminal risks associated with their role It provides with a crucial knowledge of relevant external legal frameworks internal regulations governing bodies formal requirements and requirements related to the actual substance content related potential cross border issues and specific rules on consumer credits and mortgages The e Learning will help understand the purpose of a credit facility and recognise the origin of the pledged assets it further explains how to assess the financial capacity of the debtor calculate the value of the pledge and consider any applicable sanctions regime The training is divided into six chapters and explains how credit activities are ruled by a set of different laws Banking Act BA Embargo Act EmbA Code of Obligations CO Anti Money Laundering Act AML Consumer Credit Act CCA and Financial Services Act FinSA In addition the training addresses the relevant sections of the Swiss Bankers Association SBA guidelines TIME Approximately 40 minutes TARGET AUDIENCE Anyone working for a bank especially in a credit related function PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English French DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 27

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FOREIGN ACCOUNT TAX COMPLIANCE ACT FATCA The e Learning course on the Foreign Account Tax Compliance Act FATCA aimed at banking professionals working for Swiss financial institutions The compact online training addresses the education needs of Swiss banks by covering important concepts definitions and requirements explaining disclosure and reporting rules and highlighting exemptions defined by the act The training covers the relevant knowledge in 13 brief lessons Introduction to FATCA The impact of FATCA on Swiss banks clients and US tax persons Intergovernmental agreements IGAs and partner jurisdictions The FATCA entity classification system FATCA compliance for different financial entities Non financial foreign entities Process of opening individual accounts under FATCA Future FATCA due diligence on pre existing individual accounts Processes of opening entity accounts under FATCA Information recording and archiving Reporting and monitoring FATCA withholding Additional important FATCA concepts TIME Approximately 40 minutes TARGET AUDIENCE Anyone working for a bank PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75 h e Learning Catalogue www indigita ch 28

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AUTOMATIC EXCHANGE OF INFORMATION AEOI CRS The online training is designed as a refresher to recapitulate key aspects of Automatic Exchange of Information AEOI and Common Reporting Standard CRS from a Swiss point of view and highlights the role of these frameworks in the fight against tax evasion Participants will learn about How tax authorities and financial institutions in participating countries exchange information related to clients bank and safekeeping accounts How this reconciles with client confidentiality and privacy protection The Swiss legal basis and guidelines of the AEOI Act and the related AEOI Ordinance Switzerland s partner jurisdictions financial institutions due diligence obligations and how to determine controlling persons The different categories of reporting and non reporting financial institutions as well as non financial entities and what AEOI means for each of them The different steps and requirements of the AEOI reporting process are also addressed TIME Approximately 40 minutes TARGET AUDIENCE Employees working in compliance risk and legal as well as front office roles PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 29

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QUALIFIED INTERMEDIARY REGIME QI This course aims at refreshing the knowledge of financial professionals in order to be able to identify US persons holding offshore investment accounts and ensure that the correct rate of withholding tax is applied to US source income paid to non US recipients The e Learning is divided into four chapters and covers QI related key concepts and definitions core obligations limitations legal and contractual basis classification of accounts and required documentation information recording and archiving requirements of reporting to the IRS and investment accounts monitoring as well as highlights the importance of the Responsible Officer designation and the adaptation of the QI Compliance Program The course has been developed as part of a broader learning programme dedicated to US taxation and the automatic exchange of information TIME Approximately 40 minutes TARGET AUDIENCE Anyone working for a bank PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 30

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INTRODUCTION TO DIGITAL ASSETS The course provides participants with fundamentals of digital assets and explains how they work from an operational and banking compliance perspective including regulatory aspects tax compliance and liabilities of the financial institutions Among others the course addresses the concept of Blockchain and how it works providing with examples of transactions and wallets as well as an introduction to the various types of digital assets Moreover the course has a practical component where participants will be able to identify scams such as red flags and risk factors understand how to activate a first line of defense with appropriate controls and due diligence learn the dos and don ts when interacting with prospects and clients TIME Approximately 45 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION LANGUAGE Upon completion participants will English earn a certificate DURATION IN HOURS SAQ credits 0 75 h e Learning Catalogue www indigita ch 31

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ISLAMIC FINANCE The online training is designed to help financial professionals advise Muslim investors on their access to financial markets particularly on how Muslim investors can access international financial markets and benefit from opportunities offered to conventional investors without compromising the principles set out by their faith The content of the SAQ recognised course has been developed in collaboration with financial training provider CSVN and is approved by Muslim Sharia advisor Mufti The course covers Definitions and an explanation of the differences between Islamic finance and conventional banking Introduction into Islamic finance and its exponential growth system the training provides an overview of the main historical dates before delving into Sharia based banking principles and the respective rules around economic and financial behaviour as well as prohibited actions Industry standards and regulations operating structures and documentation applicable to Islamic businesses followed by information on corporate governance in Islamic banking Shariah boards and financial intermediation The application of typical Islamic contracts the principles of Murabaha deposits and financing and the most common Islamic assets and funds Practical hints and important points to consider are provided to support everyday business involving Muslim clients TIME Approximately 45 minutes TARGET AUDIENCE Employees working in front office as well as compliance risk and legal roles PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 32

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ESG FOUNDATION Sustainable Finance refers to any financial services integrating environmental social and governance ESG criteria into the investment decisions making processes for the lasting benefit of both clients and the society The objective of this course is to provide the participant with the fundamentals of Sustainable Finance such as definitions and concepts as well as the current legal framework initiatives and regulatory developments TIME Approximately 45 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION LANGUAGE Upon completion participants will English earn a certificate DURATION IN HOURS SAQ credits 0 75h e Learning Catalogue www indigita ch 34

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CYBERSECURITY UNIVERSAL The course serves as a primer on cybersecurity for professionals of all industries and across jurisdictions Participants will learn about the different forms of cybersecurity incidents that arise from the use of the internet communication through email use of workplace infrastructure social engineering techniques and the handling of information The training explains how to detect and reduce potential cybersecurity threats and how to mitigate the potential impact in the event of an incident TIME Approximately 30 minutes TARGET AUDIENCE Professionals from all economic sectors PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English e Learning Catalogue www indigita ch 36

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CYBERSECURITY FOR FINANCIAL INSTITUTIONS The content of this course corresponds to the requirements outlined in the Financial Market Supervision Act FINMASA which obliges financial institutions to report cyber attacks immediately to FINMA whenever they occur The training also serves as a preventive measure to lower the likelihood of a cybersecurity incident by educating professionals in different functions on various cybersecurity topics including Internet and email threats Environment workplace and mobility Social engineering Information handling TIME Approximately 45 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 0 75 h e Learning Catalogue www indigita ch 37

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OPERATIONAL RISKS The training teaches participants how to identify and mitigate operational risks in financial services and addresses the requirements outlined in the recent FINMA Circular 2023 1 Operational risks and resilience banks The course highlights the importance of establishing clear roles and responsibilities on all levels of an organisation and explains why it s crucial to implement an appropriate risk strategy to identify assess mitigate and monitor risks By completing the training financial professionals gain an understanding of the operational risk exposure that they face when using internal systems implementing processes and being subject to external occurrences Participants also learn about the consequences these risks can have for financial institutions TIME Approximately 60 minutes TARGET AUDIENCE Anyone working for a bank or a financial intermediary PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 1h e Learning Catalogue www indigita ch 38

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FRAUDULENT INSTRUCTIONS The course is designed to help banks and external asset managers understand and mitigate liabilities linked to fraud by means of forged signatures and other deceptive acts by unauthorised third parties It also features practical examples of jurisprudence With a focus on new methods of communication like email and mobile applications the program outlines the rules that govern financial intermediaries responsibility related to the execution of instructions such as payment orders withdrawal requests securities transfers on behalf of its customers TIME Approximately 60 minutes TARGET AUDIENCE Front office compliance central file risk and legal professionals PREREQUISITES None ASSESSMENT A formal assessment consisting of 10 questions with a passing grade of 80 forms part of this course CERTIFICATION Upon completion participants will earn a certificate LANGUAGE English DURATION IN HOURS SAQ credits 1h e Learning Catalogue www indigita ch 39

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TAILOR MADE COURSES TO MEET YOUR BUSINESS NEEDS In addition to the Indigita s rich e Learning portfolio we offer professional customisation and creation of courses to meet specific needs of our clients It allows our clients to design unique and effective trainings quizzes and certificates in terms of Topics Structure and content Gamification features Languages EN DE FR IT Design co branded or white label Moreover we offer a possibility to revamp outdated e Learning courses leveraging on the most recent technological solutions DESIGN YOUR OWN COURSE TIME TARGET AUDIENCE PREREQUISITES ASSESSMENT CERTIFICATION LANGUAGE e Learning Catalogue www indigita ch 41

E-LEARNING CATALOGUE

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