Conflicts of Interest
Raiffeisen KAG has its own compliance organisation whose specific tasks include supporting the departments in the identification and resolution of conflicts of interest between the company and its funds and between the funds themselves in order to ensure that investors are not disadvantaged through such conflicts of interest. One measure that helps in the prevention of conflicts of interest is the creation of areas of confidentiality. This is intended to ensure that compliance-relevant information that originates or is registered in a specific department of Raiffeisen KAG does not leave this department and is only used to the extent necessary for the normal course of business. In order to prevent conflicts of interest and insider trading, Raiffeisen KAG has introduced special rules for employee transactions, i.e. the personal transactions of its staff, which are based on the Standard Compliance Code of the Austrian banking industry and have also been supplemented with additional rules that are specific to investment firms. Raiffeisen KAG’s compliance organisation is also audited by the Internal Audit division on an annual basis.
Raiffeisen KAG and its subsidiaries have created a conflict of interest policy that defines guidelines for handling conflicts of interest, identifies potential conflicts of interest and explains how to deal with them.
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