The Group's internal Legal, Risk & Compliance Department reports directly to the Board of Directors and the CEO on all business areas. This guarantees that we constantly monitor and sustainably achieve our objective of independence and avoidance of potential internal or external conflicts of interest.
Membership of the PolyReg General Self-Regulatory Organisation (SRO), which is responsible for the legal supervision and monitoring of its affiliated financial intermediaries, is a cornerstone for our operation. In addition, our Portfolio Management business area is, on the one hand, subject to obligatory supervision by the Swiss Financial Market Supervisory Authority (FINMA) due to its status as a securities dealer and, on the other, is a member of various organizations, such as, for instance, the Swiss Bankers Association or the Swiss stock exchange (SWX). Subordination to the banks’ rules of conduct on due diligence, structured processes, guidelines and regular training guarantee that the utmost care is exercised when dealing with acquisitions, as well as in the establishment and cultivation of client relationships. We also see the choice of a leading external auditor to review the bookkeeping and annual financial statements of our three divisions as an investment in our long-term success.