CONFLICT OF INTEREST MANAGEMENT POLICY. SGSS has established and maintains operational a policy for managing conflicts of interest pertaining to its own activities and taking into account its affiliation with the Societe Generale group. This policy groups together the various measures and procedures that have been established in order to detect situations of conflicts of interest arising during its delivery of investment services that could be harmful to the interests of its customers. This particularly involves conflicts of interest that could occur between its direct and indirect employees and its customers, or even between two of its customers, during the provision of investment services. In particular, SGSS has implemented procedures: • in terms of provisions applicable to remuneration, • pertaining to transactions made by its employees including on personal transactions of some of its employees, • by establishing a watch list that identifies issuers for which Societe Generale holds privileged information, • conducive to maintaining the confidentiality of information, procedures commonly called “Chinese walls”. They prevent undue circulation of confidential or privileged information among the group’s various departments. Nevertheless, if it appears that these measures and procedures are not sufficient to avoid, with reasonable certainty, the risk of harming the interests of an Account Holder, SGSS shall inform the Account Holder, clearly and in a sufficiently detailed manner, before acting in the Account Holder’s name, of the general nature or the source of these conflicts of interest so that the Account Holder can take an informed decision.
CONFLICT OF INTEREST MANAGEMENT POLICY. CAJASUR has a conflicts of interest Policy, whose purpose is to regulate the general procedure to manage the potential or actual conflicts of interest of the Entity, identify the circumstances which may lead to actual or potential conflicts of interest and the procedures that must be followed for their proper management. Cajasur Banco, S.A.U., Avda. del Gran Capitán, 11-13 - 14008 Córdoba-www.cajasur.com-Cordoba Merc. Reg., volume 2458, folio 1, page CO-35656, inscription 1ª. N.I.F. A95622841 The conflicts regulated by the Policy shall apply to the Chairman and CEO when exercising their executive function, as well as to the individual employees. All will be referred to in the policy using the expression “competent persons”. A conflict of interest is understood to arise when CAJASUR or the Competent Persons:
CONFLICT OF INTEREST MANAGEMENT POLICY. Velocity Trade Financial Services has adopted and implemented a conflict of interest management policy that complies with the provisions of the FAIS Act. The conflict of interest management policy is available on request and can be obtained by emailing xxxxxxx@xx.xxxxxxxxxxxxx.xxx or by telephone: 000 000 0000. 7 INDEMNITY COVER Velocity Trade Financial Services holds Professional Indemnity and Fidelity cover. 8 FINANCIAL INTELLIGENCE CENTRE ACT (FICA) In terms of FICA, Velocity Trade Financial Services is an accountable institution. We are required to identify our prospective clients, verify the given information and keep records of the verifying documents. We are also obliged to report suspicious and unusual transactions that may facilitate money laundering to the authorities.
CONFLICT OF INTEREST MANAGEMENT POLICY. Velocity Trade Financial Services has adopted and implemented a conflict of interest management policy that complies with the provisions of the FAIS Act. The conflict of interest management policy is available on request and can be obtained by emailing xxxxxxx@xx.xxxxxxxxxxxxx.xxx or by telephone: 000 000 0000.
CONFLICT OF INTEREST MANAGEMENT POLICY. 1. Think Direct (Pty) Ltd has adopted and implemented a conflict of interest management policy that complies with the provisions of the FAIS Act. The conflict of interest management policy is published on the website of Think Direct (Pty) Ltd at xxx.xxxxxxxxxxx.xx.xx
CONFLICT OF INTEREST MANAGEMENT POLICY. (Articles L533-10, 3° of the French Monetary and Financial Code and 313-18 et seq. of the General Regulations of the Autorité des Marchés Financiers) We implement a system for detecting and managing conflict of interest situations in order to protect your interests. This system is based on : - a separation of the various financial activities within our Group; - rules governing the circulation of information between the different entities of the Group; - recommendations that are binding for our employees; - periodic or permanent controls of the compliance of operations carried out within the Group. - Our rules apply to entities that are linked to us by a direct or indirect control relationship. Our conflict of interest management policy is available on our website. OUR APPROVALS Arkéa Banking Services has been approved as a credit institution by the Autorité de Contrôle Prudentiel et de Résolution (French Prudential Supervisory Authority or ACPR). These authorisations may be viewed on the Banque de France’s website or by writing to: Banque de France - Direction des Agréments, des Autorisations et de la Réglementation (Permits, Authorisations and Regulation Department) - 40.2785 - 75049 Paris Cedex 01. Arkéa Banking Services is subject to the supervision of the ACPR as regards compliance with the laws and regulations applicable to it as a credit institution. Arkéa Banking Services – 0 xxxxx xx xx Xxxxxxxx – Tour Ariane 92088 Paris La Défense cedex. Tel. 00.00.00.00.00 – Fax 00.00.00.00.00 S.A à Directoire et Conseil de surveillance (limited liability company with a board of directors and a supervisory board) with share capital of € 46.500.000 - RCS Nanterre 000 000 000 CONTACTING US If you experience any difficulty in operating your account or wish to make a complaint, you may contact your branch from between 8:30 and 12:30 and between 13:30 and 17:30, Monday to Friday. Address: Tour Ariane – 0 Xxxxx xx xx Xxxxxxxx, 00000 XXXXX XX XXXXXXX Email address: xxxxxxxxxxxxx@xxxxx.xxx, Telephone: 00.00.00.00.00. If you are not satisfied with the answer you are given, you may then contact Arkéa Banking Services - Customer Relations Department, 0 xxxxx xx xx Xxxxxxxx – Xxxx Xxxxxx 00000 Xxxxx la Défense cedex. Tel. 00.00.00.00.00 If you experience any financing or credit insurance issues, you may contact the Credit Ombudsman at xxxxxxxxxxxxxxxxx.xx or on 0 810 00 12 10 (€0.06/min. + price of a local call). DEPOSIT PROTECTION Your cash deposits are protected up to €100...
