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Compliance

As CACEIS Group diversifies its business lines and continually expands its products and services in an ever-changing complex legislative environment, heightened vigilance is required in terms of compliance regarding our business activities and operations.

The Compliance Department carries out this task by ensuring that the principles of loyalty, integrity and honesty are respected in the relations between CACEIS Group entities and their clients and suppliers as a pledge of confidence and security.

As such, the Compliance Department, as an integral part of the internal control mechanism, implements the measures required to manage non-compliance risks at the CACEIS Group level.

In this context, its key role is to ensure compliance with the texts applied to the banking and financial industries, UCITS custodianship and AIFs, including legislation and regulations, professional standards and codes of ethics, and internal rules applied to the CACEIS Group or its core shareholder, Crédit Agricole.

The CACEIS Group compliance policy prioritises combating internal and external fraud, corruption, money laundering and terrorist financing, and ensures the respect of embargos, the detection of market abuse and alerting regulators, while preventing conflicts of interest and ensuring that investors’ interests are respected.

The Compliance Department also ensures that rules governing professional conduct standards and personal ethics are applied by employees through the sharing of key values such as integrity, discipline and a sense of service, both individually and collectively. The code of conduct applied within CACEIS Group entities also contributes towards the prevention of conflicts of interest.

All CACEIS Group personnel (directors, managers and employees) must respect compliance regulations. Our compliance commitments are governed by specific directives and procedures. Staff and corporate officers attend regular refresher training courses covering these obligations, which are organised and monitored by the Compliance Department.


Law Eckert

Overview Law Eckert (in French)

Annual Statistics 2017 (in French)

 

FATCA Compliance

FATCA Compliance Letter

CACEIS Group's GIIN

CACEIS's Best Execution Policy

Best Execution Policy of CACEIS Bank

Best Execution Policy of CACEIS Corporate Trust (in French)

CACEIS Corporate Trust's Intermediaries Selection Policy (in French)

Venues of execution

Main intermediaries

Report on execution platforms

CACEIS Bank is an investment services provider duly authorized to provide the following services: execution of orders on behalf of clients, reception-transmission of orders and dealing on own account. In accordance with Delegated Regulation 2017/576, and articles 65 and 66 of Delegated Regulation 2017/565, CACEIS Bank provides you with information on the execution venues and selected third parties used in 2017:

Top 5 Brokers

Top 5 Venues

Wolfsberg Questionnaire

CACEIS Bank - Wolfsberg Questionnaire

USA Patriot Act Certification

USA Patriot Act Certification - CACEIS Bank