Ensuring integrity :
- of the Institution
Conflicts of interest (business relationship with counterparties, market abuse, insider trading), new product and service approval ("sign-off").
- in providing services and selling financial products
Financial advising, brokerage, marketing and communication services for customers (information transparency), advocating for and protecting customers, etc.
- among Employees
Insider trading and abuse of confidential information, conflicts of interest, corruption, incentives ("Gift Policy"), codes of conduct and ethics, etc.
- 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 NB Compliance Department
To ensure that all NOVO BANCO 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;
- help strengthen the image, credibility and public confidence in the NOVO BANCO 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||Prevention and Detection of Money Laundering|