Compliance

As a fully licensed bank, ODDO SEYDLER BANK AG is subject to oversight by the German Federal Financial Supervisory Authority (BaFin), the German Bundesbank, the trade monitoring bodies at the various exchanges as well as the regulations of Deutsche Börse AG and the other exchanges at which our company is authorised to trade.

The term compliance stands for the adherence to rules and provisions in the financial sector. These include the regulations of the German Securities Trading Act (WpHG) and of the Markets in Financial Instruments Directive (MiFID).

A compliance officer is active in an advisory capacity for all legal, regulatory issues and for issues that impact on our reputation. With the requisite degree of diligence and discretion, he or she works both with management and staff to identify risks and initiates suitable measures to minimise them. The compliance officer therefore promotes a first-class compliance culture at the highest level.

In the volatile environment of the securities markets, precise risk control is an important basic requirement for successful corporate development. For this reason, the Management Board is responsible for risk management and for active risk control.