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De continue diversificatie en uitbreiding van CACEIS' product- en dienstaanbod in een voortdurend veranderende wet- en regelgevend kader, vraagt om meer waakzaamheid met betrekking tot compliance.

Onze Compliance-afdeling ziet erop toe dat de beginselen ‘loyaliteit’, ‘integriteit’ en ‘eerlijkheid’ worden uitgedragen in de relaties tussen entiteiten van CACEIS Group en cliënten en leveranciers, als een gelofte van vertrouwen en veiligheid.

De Compliance-afdeling, de spil van ons interne controlemechanisme, implementeert dan ook maatregelen die noodzakelijk zijn om de risico's van niet-naleving binnen CACEIS Group te beheren.

De belangrijkste taak van de afdeling is ervoor waken dat de voorgeschreven normen, richtlijnen en verplichtingen voor de bancaire en financiële sector en de bewaarneming van ICBE's en alternatieve beleggingsfondsen worden nageleefd. Dergelijke normen, richtlijnen en verplichtingen zijn onder meer afkomstig van wet- en regelgeving, professionele normen, ethische codes en interne regels die gelden voor CACEIS Group of haar grootaandeelhouder Crédit Agricole.

De focus van het compliancebeleid van CACEIS Group ligt primair op de bestrijding van interne en externe fraude, corruptie, witwassen en financiering van terrorisme. Er wordt op toegezien dat embargo's worden nageleefd, marktmisbruik wordt opgespoord, de regelgevende instanties worden ingelicht en belangenverstrengeling wordt voorkomen. Zo spant de afdeling zich in voor de belangen van beleggers.

De Compliance-afdeling garandeert ook dat het personeel in overeenstemming met professionele gedragscodes en persoonlijke ethische normen handelt door sleutelwaarden zoals integriteit, discipline en servicegerichtheid uit te dragen, zowel op individueel als collectief niveau. De gedragscode die binnen CACEIS Group geldt, helpt bovendien bij het voorkomen van belangenverstrengeling.

Alle medewerkers van CACEIS Group (bestuurders, managers en werknemers) moeten zich aan de compliance-regels houden. Onze compliance-verplichtingen zijn gebaseerd op bepaalde richtlijnen en procedures. Om hun kennis van die verplichtingen te actualiseren, krijgen personeelsleden en bedrijfsleiders regelmatig opfriscursussen, die worden georganiseerd en gecontroleerd door de Compliance-afdeling.


On July 3, 2023, CACEIS completed the acquisition of RBC Investor Services Bank S.A. activities in Europe and Malaysia, which have been rebranded CACEIS Investor Services Bank S.A.

Certain legal and regulatory content pertaining to CACEIS Investor Services Bank S.A. and its branches and subsidiaries (e.g. disclosures, reports, privacy notices and terms and conditions) can still be found here until they are incorporated into the CACEIS website.


Report on execution platforms and selection of intermediaries

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:

Top 5 Brokers & Top 5 Venues (2022)

Top 5 Brokers & Top 5 Venues (2021)

Top 5 Brokers & Top 5 Venues (2020)

Top 5 Brokers & Top 5 Venues (2019)

Top 5 Brokers & Top 5 Venues (2018)

 

KAS BANK was acquired by CACEIS in 2020 and became CACEIS Bank Netherlands branch as of 1st of November 2020.
Before the branch conversion in November 2020 and in accordance with Delegated Regulation 2017/576, and articles 65 and 66 of Delegated Regulation 2017/565, find below the KAS BANK ‘s information on the execution venues and selected third parties:

 

Top 5 Brokers & Top 5 Venues KAS BANK NV (2020)

Top 5 Brokers & Top 5 Venues KAS BANK NV (2019)

KAS BANK NV RTS28 Evaluation (2019)

Law Eckert

Overview Law Eckert (in French)

Annual Statistics 2022 (in French)

FATCA Compliance

FATCA Compliance Letter

CACEIS Group's GIIN

CACEIS's Best Execution Policy

Execution & Selection Policy - CACEIS Bank (April 2023)

CACEIS Bank General Cond. Execution Services Commodities (2019)

Venues of execution (April 2023)

Main intermediaries (April 2023)

Pillar 3 information

CACEIS - Pillar 3 informations (2022 - in French)

CACEIS - Pillar 3 informations (2021 - in French)

CACEIS - Pillar 3 informations (2020 - in French)

Annual Report on Remuneration Policy and Practices (2022 in French)

Annual Report on Remuneration Policy and Practices (2021 - in French)

Annual Report on Remuneration Policy and Practices (2020 - in French)

Annual Report on Remuneration Policy and Practices (2019 - in French)

Capital Instruments' main features (2022)

CACEIS - Evaluation administrateurs et diversité (2022 - in French)

CACEIS Bank - Evaluation administrateurs et diversité (2022 - in French)

Wolfsberg Questionnaire

CACEIS Bank - Questionnaire Wolfsberg FCCQ

CACEIS Bank - Questionnaire Wolfsberg CBDDQ

USA Patriot Act Certification

USA Patriot Act Certification - CACEIS Bank

Contingency Plan - BMR

BMR Contigency Plan

General Data Protection Regulation - GDPR

Position with regards to the General Data Protection Regulation

Kennisgeving inzake gegevensbescherming


How to contact our DPO (Data Protection Officer):

- Postal Address:

DPO CACEIS
Michel Gauthier
12 place des États-Unis
CS 40083 - 92549 Montrouge Cedex
France

- E-mail:
caceisdpo@caceis.com

Fonds de Garantie des Dépôts et de Résolution

The FGDR is the organization whose mission is to protect customers from a failed bank or an investment service provider.

FGDR Factsheet

Information on deposit guarantee (May 2023)

UCITS V

Conflicts of interest

Complaints

For any complaint concerning your relationship with the CACEIS Group, you have to refer to your relationship manager or your usual contact whose references have been communicated to you when you engaged with CACEIS or throughout the relationship. CACEIS will make every effort to consider your complaint and respond to you within a maximum of 2 months from the date it was sent.

If you are not satisfied with the answer to your complaint, you can refer to the Mediator of the French Financial Markets Authority (AMF) by mail at the following address:

Médiateur de l’AMF - l’AMF - Autorité des Marchés Financiers
17, Place de la Bourse
75082 Paris cedex 02

or in electronic form on the AMF website. Note that the means chosen for this request is final for the dispute.

Where the concerned CACEIS entity with which you have a customer relationship is located outside France, you can also refer to the relevant local authority according to its own procedure.

Information about risks

Information about Risks for Professional Clients

Clearing

Disclosure Guideline for Central Counterparty Clearing (January 2024)

Terms and conditions on indirect clearing (April 2023)

Frais sur dérivés matières premières (January 2024 - in French)

Important information – CACEIS’ corporate identity is currently being used to sell fraudulent term deposit products. CACEIS has nothing to do with such offers and does not even sell investment products. Please be vigilant and avoid becoming the victim of this type of fraud.
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