Tue. Jun 25th, 2019

Planet Compliance

Innovation & Regulation in Finance

Directory of Conflicts of Interest Policy samples

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The following is a directory with links to documents from financial service providers such as banks, fund managers, hedge funds, etc. with regard to their Conflicts of Interest Policies, which is provided for informational purposes only. All documents are freely available on the Internet and we are not responsible for the content produced on the websites we have provide links to.

Please note that some documents are actually addendums to or summaries of the actual Conflicts of Interest Policy of a financial institution and only provide an overview of the underlying document, which is likely to be more comprehensive and detailed.

If you have any questions or comments, please let us know. We are also grateful if you want to indicate additional documents that you think should be added to this directory.

 


Organisation

Societe Generale

Title Doc

Summary of the Conflicts of Interest Policy

Link

https://it.solutions.sgcib.com/docs/Summary+of+SGCIB+Policy+of+Conflicts+of+interests.pdf


Organisation

Deutsche Bank

Title Doc

Conflicts of Interest Policy – Deutsche Bank Group

Link

https://www.db.com/company/en/media/Conflicts-of-Interest-Policy.pdf


Organisation

EFG Bank Luxembourg

Title Doc

Information on Conflicts of Interest Policy

Link

www.efgbank.lu/cms1/files/live/sites/…/Conflicts_of_Interest_Policy_EN.pdf


Organisation

Tullett Prebon

Title Doc

Conflicts of Interest Policy

Link

https://www.tullettprebon.com/Documents/legal/Conflicts_of_Interest_Policy.pdf


Organisation

JPMorgan Asset Management

Title Doc

Conflicts of Interest Policy

Link

https://am.jpmorgan.com/blob-gim/1383218061790/83456/jpm6417-conflicts-of-interest-policy-v2.pdf


Organisation

Macquarie Group

Title Doc

Conflicts of Interest Summary Policy

Link

https://www.macquarie.com/dafiles/Internet/mgl/global/shared/about/disclosures/docs/mifidconflictpolicy.pdf?v=2


Organisation

Grupo Santander

Title Doc

General Conflicts of Interest Policy

Link

http://www.santander.com/csgs/MiFID_General+Conflicts+of+Interest+Policy+201411.pdf


Organisation

Walbrook Capital Markets Limited

Title Doc

Conflicts of Interest Policy

Link

https://www.walbrookcapitalmarkets.com/conflictsofinterestpolicy.pdf


Organisation

RBC Investor and Treasury Services

Title Doc

Information on conflicts of interest policy

Link

https://www.rbcits.com/AboutUs/CorporateGovernance/p_InformationOnConflictsOfInterestPolicy.aspx


Organisation

Maitland

Title Doc

Conflicts of Interest Management Policy – South Africa

Link

http://www.maitlandgroup.com/wp-content/uploads/2013/10/Conflict-of-Interest-Management-Policy-April-2011-v1.1.pdf


Organisation

Newedge Group

Title Doc

Summary of the Policy for Managing Conflicts of Interest

Link

http://www.newedge.com/fileadmin/user_upload/SGCIB/pdf/Newedgecom_PDF/Conflict_of_Interest.pdf


Organisation

RBCIS Investor Services Bank SA

Title Doc

RBCISB Addendum to the RBC Conflicts of Interest Policy

Link

https://www.rbcits.com/AboutUs/locations/spain/Addendum%20to%20the%20RBC%20Investment%20Services%20Espana%20Conflicts%20of%20Interest%20Policy.pdf


Organisation

CUBE Investing

Title Doc

Conflicts of Interest Policy

Link

http://www.cubeinvesting.com/Content/Conflicts-Of-Interest-Policy


Organisation

MaxFX

Title Doc

Conflicts of Interest Policy

Link

https://maxfx.com/legal/conflict-of-interest-policy/


Organisation

Bank of Nova Scotia

Title Doc

Summary of the Conflicts of Interest Policy

Link

http://www.gbm.scotiabank.com/AboutUs/UK_Conflicts_policy.pdf


Organisation

Saxo Bank

Title Doc

Policy for Managing Conflicts of Interest

Link

http://www.saxobank.com/Documents/business-terms-and-policies/conflicts_of_interest_policy_en.pdf


Organisation

Bouwfonds Investment Management

Title Doc

Conflicts of Interest Policy

Link

http://www.bouwfondsim.com/wp-content/uploads/2015/02/07-2014-Bouwfonds-IM-Conflicts-of-interest-policy-Final-AIFMD.pdf


Organisation

Amana Financial Services UK Ltd

Title Doc

Conflicts of Interest Policy

Link

http://www.amanacapital.com/pdf/Conflict_of_Interest_Policy.pdf


Organisation

Fitch Ratings

Title Doc

Global Securities Trading and Conflicts of Interest Policy

Link

https://www.fitchratings.com/site/ethics/conflictsofinterest


Organisation

Saxo Capital Markets

Title Doc

Conflicts of Interest Policy

Link

http://uk.saxomarkets.com/documents/scml/legal-documentation/conflicts-of-interest-policy.pdf


Organisation

Bank Vontobel AG

Title Doc

General Conflict of Interest Policy of the Vontobel Group

Link

https://www.vontobel.com/CH/Download/AssetStore/7b51b003-aaf3-4b98-af91-c0d35bce40c9/Conflict-of-Interest-Policy-en.pdf


Organisation

Jupiter Fund Management plc

Title Doc

Conflicts of Interest Policy

Link

www.jupiteram.com/en/~/media/Files/…/Conflicts%20of%20Interest%20Policy


Organisation

Capricorn Fund Managers Limited

Title Doc

Conflicts of Interest Policy

Link

http://www.capricornsa.com/Conflicts-of-Interest-Policy


Organisation

ICAP

Title Doc

ICAP Conflicts of Interest Management Policy

Link

http://www.icap.com/~/media/Files/I/Icap-Corp/pdf-terms-of-business/Conflicts%20of%20Interest%20Management%20Policy%20v11.pdf


 

 

 

 

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