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Compliance

Compliance

Goals

  • Ensuring integrity of the Institution

    Conflicts of interest (business relationship with counterparties, market abuse, insider trading), new product and service approval ("sign-off").

  • Providing services and selling financial products

    Financial advising, brokerage, marketing and communication services for customers (information transparency), advocating for and protecting customers, etc.

  • Ensuring integrity among Employees

    Insider trading and abuse of confidential information, conflicts of interest, corruption, incentives ("Gift Policy"), codes of conduct and ethics, etc.

  • Ensuring integrity among Customers

    Money laundering, financing of terrorist activities, trafficking (drug, human), financing of morally and socially objectionable activities (racism, environmental issues), other crimes and fraud.

Mission of the novobanco Compliance Department

  • To ensure that all novobanco Group entities and employees

    as part of their activities, fulfil all legal, regulatory, statutory, operational, tutelary, ethical and behavioural requirements which are applicable at any time in the context of the control environment and institutional supervision defined by the relevant regulatory authorities and the legal standards to which they are subject;

  • To ensure that all novobanco Group entities and employees

    help strengthen the image, credibility and public confidence in the novobanco Group, acting according to the principles of the utmost integrity, honesty, diligence, competence, transparency and neutrality.

Code of Conduct, Conflicts of Interest and Related Party

Código de Conduta Código de Conduta
Code of Conduct Code of Conduct
Política de Conflitos de Interesses Política de Conflitos de Interesses
Conflicts of Interest Policy Conflicts of Interest Policy
Política de Transações com Partes Relacionadas Política de Transações com Partes Relacionadas
Policy on Related Party Transactions Policy on Related Party Transactions
Política de Comunicação de Irregularidades Política de Comunicação de Irregularidades
Whistleblowing Policy Whistleblowing Policy
Política Anti-Suborno e Anti-Corrupção Política Anti-Suborno e Anti-Corrupção
Anti-Bribery & Anti-Corruption Policy Anti-Bribery & Anti-Corruption Policy

Prevention and Detection of Money Laundering

Anti Money Laundering | The Wolfsberg Group Questionnaire Anti Money Laundering | The Wolfsberg Group Questionnaire
Estruturas Comerciais | List of Branches Estruturas Comerciais | List of Branches
AML Statement AML Statement
US Patriotic Act Certificate US Patriotic Act Certificate
Políticas de Gestão de Risco de Branqueamento de Capitais e Financiamento do Terrorismo Políticas de Gestão de Risco de Branqueamento de Capitais e Financiamento do Terrorismo
Risk Management Policy for Money Laundering and Terrorist Financing Risk Management Policy for Money Laundering and Terrorist Financing

Intermediação Financeira

Transparência na Informação ao Investidor

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Transparência na Informação ao Investidor