Compliance

The Compliance function aims to promote honest and ethical conduct. The objective is to ensure compliance with laws, regulations, rules and professional standards as well as with the Company’s Code of Conduct in order to protect the integrity of the financial market.

Its mission is based on the 6 following pillars:

  1. Engage in and promote business and professional ethical conduct
  2. Comply with laws, regulations, rules and professional standards
  3. Avoid any conflicts of interest
  4. Take all reasonable measures to protect confidentiality
  5. Protect the Company’s assets
  6. Protect the Client’s best interests

 

Novacap Asset Management’s compliance experts have a good and practical knowledge of the investment management environment, making our dialog smart and constructive:

  • In collaboration with the client, Novacap define the investment frame in compliance with the regulatory requirements
  • Prepare the investment compliance control matrix
  • Ascertain that the pre-trade investment compliance process is robust and efficient
  • Process the regular controls
  • Issue the compliance executive summary

 

Contact us for your compliance needs: info@novacap-am.com