Specialisation · Covered Persons
A portfolio that knows your compliance rules from day one.
If you work at a bank, an asset manager, an audit firm or a consultancy, you are often not free to trade privately. Together with NFS Hamburger Vermögen we have developed strategies that comply with these rules and still follow an active approach.
Who is the solution for?
Banks and asset managersPersonal account dealing policies
Audit and consultingIndependence rules, restricted lists
Board members and insidersTrading bans and reporting duties under MAR
Supervisory bodies and public sectorInternal codes of conduct
The starting point
Why standard solutions do not fit here
- Transactions require approval
- Minimum holding periods slow down active management
- Restricted lists exclude issuers and clients
- Every transaction must be reported
Our solution
Strategy and rules from a single source
- Direct coordination with your compliance on pre-clearance and reporting
- Dynamic, actively oriented portfolios within the permitted framework
- No conflicts of interest: inducements are paid out to you
- Efficiently structured product costs
Process
How we work together
01Review the rulesWe clarify your personal requirements and policies.
02Define the strategyYour goals and restrictions shape your strategy.
03Obtain approvalAny pre-clearance is carried out by you or by us, depending on the approach.
04Implement and monitorHolding periods and restricted lists are kept in view.
05ReportingTransaction reporting for your compliance when required.
06AuditSupport in preparing your accountability obligations.
Frequently asked questions
What Covered Persons ask us in advance
Does my compliance department have to approve the solution?
That depends on your internal policy. Many employers require notification or approval. We put together the necessary documents for you.
What happens if a transaction is not approved?
Then we do not execute it, adjust the implementation and document the process.
Can I transfer existing positions?
As a rule, yes. We take ongoing holding periods and restricted lists into account.
From what investment amount is the solution available?
We assess this case by case and are happy to discuss it in an initial meeting.
Next step
Let's talk confidentially about your rules.
30 minutes, by phone or video. Feel free to bring your internal policy.
Arrange a confidential initial meeting →+49 (0) 211 17051000 · info@anchora-capital.com