Conflict of Interest

 

Conflicts of interest may arise, in particular, in the provision of securities services

 

 

  • providing investment advice within the scope of municipal financial and interest management;
  • when receiving or granting benefits from or to third parties;
  • through performance-related remuneration of employees;
  • in the granting of grants to employees;
  • by obtaining information which is not publicly known;
  • from the personal relationships of the employees or the management or persons connected with them or
  • with the participation of these persons in supervisory or advisory councils.

 

 

The module Conflict of Interest supports the examination of the legal minimum requirements for the following conflict situations:

 

 

  • financial advantage: "the extent to which the bank or one of the persons named could have a financial advantage at the customer's expense or (or reduce) financial loss";
  • deviating interest: "the extent to which the bank or one of the persons mentioned has an interest in the result of a service provided to the customer or a business carried out for it which does not correspond with the interest of the customer in this result";
  • incentives: "the extent to which the bank or any of the persons referred to above has a financial or other incentive to place the interests of another client or group of clients above the interests of the customer";
  • competition: "the extent to which the bank or one of the persons referred to is the same as the customer";
  • third-party incentives: "The extent to which the bank or any of the persons referred to in the context of a service could receive or receive a grant from a third party".

 

The Conflict of Interest module allows to guide a conflict register/list in a risk-oriented manner and to reconcile this to new conflicts. The integrated process documentation enables the steps and measures taken as a result of a conflict of interest to be documented in a revision-proof manner.

 
 
 
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