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Compliance

LAWFUL AND RESPONSIBLE CONDUCT

OUR BUSINESS PRINCIPLES

FAIRNESS AND TRUST

At Dr. Peters Group, compliance encompasses our business principles and the commitment to working together in a spirit of fairness and trust.

Compliance is generally understood to mean adherence to all statutory obligations, requirements and guidelines relevant to the organisation as well as to voluntary codes. Fundamental requirements for the conduct of the Group and of every individual are set out in the Dr. Peters Group compliance policy. These constitute a binding framework for all organisational units. All employees in our Group are required to comply with all laws and requirements applicable in their work environment, 

both in Germany and internationally, as well as with the applicable internal instructions, processes and guidelines. We act honestly and fairly, with decency and in accordance with ethical principles in all dealings with customers and employees. We avoid situations that could lead to conflicts between personal interests and those of our customers and Dr. Peters Group, and we do nothing that could cause Dr. Peters Group any detriment.

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FAIR BUSINESS PRACTICES

The compliance management system aims to ensure that Dr. Peters Group conducts all business activities in accordance with statutory and regulatory requirements on the basis of fair business practices and the highest standards of integrity.

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AVOIDANCE OF CONFLICTS OF INTEREST

The compliance management system aims to ensure that potential conflicts of interest are identified early, handled fairly and avoided wherever possible.

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COMPLIANCE WITH DATA PROTECTION RULES

The compliance management system aims to ensure that confidential data received in the course of business activities is processed and transferred, both internally and externally, solely for the performance of specific responsibilities and in accordance with the applicable laws and requirements, in particular including data protection rules.

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MONITORING OF EMPLOYEE TRANSACTIONS

The compliance management system aims to ensure that own-account transactions by employees are carried out exclusively in accordance with the applicable rules in order to ensure that such transactions do not harm investor and customer interests.

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EFFECTIVE COMPLAINTS MANAGEMENT

The compliance management system aims to ensure that investor and customer complaints are dealt with promptly, appropriately and in accordance with requirements.

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PAYMENT AND RECEIPT OF INDUCEMENTS

The compliance management system aims to ensure that the payment or receipt of inducements or incentives does not compromise the professional independence of employees and the integrity of decisions.

CODE OF CONDUCT

VALUES AND STANDARDS FOR THE ETHICAL CONDUCT OF BUSINESS

We expect our employees to adhere to our compliance standards. Our Code of Conduct sets out the values and standards for ethical business conduct and guides us in our interactions with customers, competitors, business partners and regulators.

Trustworthiness, responsibility and quality in our daily business conduct are key to our success. This applies both in dealings with contract partners and in managing our funds and investors’ money. As a mid-sized organisation with a long corporate history, we are committed to the standards of respectable business conduct.

Values and virtues such as honesty, reliability and integrity are the cornerstone of our everyday work. The fundamental rules of conduct for our business and our employees are set out in a code of conduct and accompanying guidelines that form part of the compliance management system. This also delineates the framework for our business activities.

DATA PROTECTION

WE KEEP YOUR DATA SAFE AND SECURE

We take the protection of personal data very seriously. As part of its social responsibility, Dr. Peters Group is committed to compliance with international data protection laws.

We process the personal data of employees, customers and business partners in accordance with the applicable legal requirements for the protection of personal data and data security.

As a globally operating enterprise, we consider it our duty to comply with the varying statutory requirements around the world governing the collection and processing of personal data. Our first priority is to apply uniform, globally applicable standards in the handling of personal data. We believe that safeguarding the personal rights and privacy of each individual creates the basis for trusting business relationships.

In our Privacy Policy, we have laid down strict requirements for the processing of personal data relating to customers, prospective customers, business partners and employees. Its implementation enables us to enforce an internationally applicable standard of data protection and data security throughout our Group.

Our Privacy Policy puts one of the necessary conditions in place to allow global data transfer. It ensures the adequate level of data protection required by Regulation (EU) 2016/679 (the General Data Protection Regulation), as well as by national laws, for the transfer of data across national borders, including to countries where such an adequate level of data protection does not apply by law.