Goals

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  Ensuring integrity of the Institution

  Conflicts of interest (business relationship with counterparties, market abuse, insider trading), new product and service approval ("sign-off").

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  Providing services and selling financial products

  Financial advising, brokerage, marketing and communication services for customers (information transparency), advocating for and protecting customers, etc.

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  Ensuring integrity among Employees

  Insider trading and abuse of confidential information, conflicts of interest, corruption, incentives ("Gift Policy"), codes of conduct and ethics, etc.

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  Ensuring integrity among Customers

  Money laundering, financing of terrorist activities, trafficking (drug, human), financing of morally and socially objectionable activities (racism, environmental issues), other crimes and fraud.

Mission of the novobanco Compliance Department

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  To ensure that all novobanco Group entities and employees

  as part of their activities, fulfil all legal, regulatory, statutory, operational, tutelary, ethical and behavioural requirements which are applicable at any time in the context of the control environment and institutional supervision defined by the relevant regulatory authorities and the legal standards to which they are subject;

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  To ensure that all novobanco Group entities and employees

  help strengthen the image, credibility and public confidence in the novobanco Group, acting according to the principles of the utmost integrity, honesty, diligence, competence, transparency and neutrality.