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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.


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.


Law Eckert

Overview Law Eckert (in French)

Annual Statistics 2023 (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 (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 (2022 - in French)

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

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)

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

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

General Data Protection Regulation - GDPR

Position with regards to the General Data Protection Regulation

Data Privacy Notice

Informativa sul trattamento dei dati personali

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

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)

Mandatory Euronext clearing provisions - General Clearing Member and Client (June 2024)

Mandatory Euronext clearing provisions - General Clearing Member and Trading Client (June 2024)

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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