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 2023 (in French)
FATCA Compliance
CACEIS's Best Execution Policy
Execution & Selection Policy - CACEIS Bank (May 2024)
CACEIS Bank General Cond. Execution Services Commodities (2023)
Venues of execution (May 2024)
Main intermediaries (May 2024)
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 (2023 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 (2023 - in French)
CACEIS Bank - Evaluation administrateurs et diversité (2023 - in French)
Wolfsberg Questionnaire
CACEIS Bank - Questionnaire Wolfsberg FCCQ
CACEIS Bank - Questionnaire Wolfsberg CBDDQ
USA Patriot Act Certification
USA Patriot Act Certification - CACEIS Bank
Integrity of Markets
Contingency Plan - BMR
General Data Protection Regulation - GDPR
Position with regards to the General Data Protection Regulation
Kennisgeving inzake gegevensbescherming
CACEIS IS - European Privacy Policy Statement
CACEIS IS - Use of Sub-Processors in Europe
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.
Information on deposit guarantee (May 2024)
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 (September 2024 - in French)
Mandatory Euronext clearing provisions - General Clearing Member and Client (June 2024)
Mandatory Euronext clearing provisions - General Clearing Member and Trading Client (June 2024)