Compliance & Regulatory

20 articles

Anti-money laundering, know your customer, data protection, and ethical conduct policies mandated by regulatory authorities.

Subcategories

Anti-Money Laundering

5

AML policy, suspicious activity reporting, and due diligence requirements.

Know Your Customer

5

KYC verification requirements for individual and corporate clients.

Data Protection & Privacy

5

GDPR compliance, data subject rights, retention policies, and cross-border transfers.

Conduct & Ethics

5

Code of conduct, whistleblowing, conflicts of interest, and market abuse prevention.

All Articles in Compliance & Regulatory

AML Policy Overview

Comprehensive overview of the Bank's Anti-Money Laundering policy framework, outlining key obligations, governance structures, and regulatory alignment under AMLD6 and applicable national legislation.

Updated 2025-11-15

AML Training Requirements

Outlines the mandatory AML training programme for all Bank employees, including frequency, content requirements, role-specific modules, and compliance tracking.

Updated 2026-01-10

Customer Due Diligence (CDD) Requirements

Detailed requirements for conducting Customer Due Diligence at onboarding and throughout the client lifecycle, including documentation standards and risk-based approach.

Updated 2025-10-05

Enhanced Due Diligence (EDD) Triggers

Defines the circumstances and risk factors that require Enhanced Due Diligence, including specific thresholds, high-risk indicators, and the additional measures to be applied.

Updated 2025-12-01

Suspicious Activity Reporting (SAR) Procedure

Step-by-step procedure for identifying, escalating, and filing Suspicious Activity Reports in accordance with regulatory requirements and the Bank's AML framework.

Updated 2025-09-20

Corporate Client Verification Requirements

Defines the identification and verification standards for corporate and legal entity clients, including beneficial ownership determination, complex structures, and documentary requirements.

Updated 2025-08-30

Individual Client Verification Requirements

Specifies the identification and verification requirements for individual (natural person) clients, including acceptable documentation, electronic verification standards, and special cases.

Updated 2025-07-22

KYC Policy Overview

Overview of the Bank's Know Your Customer policy framework, establishing the principles and governance for client identification, verification, and ongoing due diligence.

Updated 2025-08-15

PEP (Politically Exposed Persons) Screening

Defines the Bank's approach to identifying, screening, and managing relationships with Politically Exposed Persons, their family members, and known close associates.

Updated 2026-02-01

Periodic KYC Review Process

Describes the process for conducting periodic KYC reviews of existing client relationships, including review triggers, timelines, quality assurance standards, and remediation procedures.

Updated 2025-11-01

Cross-Border Data Transfer Rules

Defines the Bank's requirements and approved mechanisms for transferring personal data outside the European Economic Area, including adequacy decisions, Standard Contractual Clauses, and Binding Corporate Rules.

Updated 2025-10-20

Data Retention Policy

Establishes the Bank's data retention and disposal standards for all categories of personal and business data, including mandatory retention periods, secure destruction methods, and regulatory requirements.

Updated 2025-09-05

Data Subject Access Request (DSAR) Procedure

Step-by-step procedure for receiving, verifying, processing, and responding to Data Subject Access Requests under the GDPR, including timelines, exemptions, and escalation paths.

Updated 2025-07-10

GDPR Compliance Overview

Overview of the Bank's compliance framework for the EU General Data Protection Regulation (GDPR), covering data processing principles, lawful bases, data subject rights, and governance responsibilities.

Updated 2025-06-15

Privacy Impact Assessment Guide

Guidance on conducting Data Protection Impact Assessments (DPIAs) for new or changed processing activities that are likely to result in a high risk to individuals' rights and freedoms.

Updated 2025-12-10

Code of Conduct

The Bank's Code of Conduct sets out the fundamental principles and standards of behaviour expected of all employees, officers, and directors in the conduct of the Bank's business.

Updated 2026-01-15

Conflicts of Interest Policy

Defines the Bank's framework for identifying, disclosing, managing, and mitigating conflicts of interest to ensure that client interests are protected and regulatory requirements are met.

Updated 2025-08-01

Gifts and Entertainment Policy

Sets out the Bank's rules for the giving and receiving of gifts, hospitality, and entertainment, including monetary thresholds, pre-approval requirements, and prohibited categories.

Updated 2025-06-01

Market Abuse Prevention

Defines the Bank's framework for preventing, detecting, and reporting market abuse, including insider dealing, unlawful disclosure of inside information, and market manipulation, in compliance with MAR and MiFID II.

Updated 2026-01-28

Whistleblowing Policy and Procedure

Establishes the Bank's whistleblowing framework, providing safe and confidential channels for reporting misconduct, regulatory breaches, and unethical behaviour, with robust protections against retaliation.

Updated 2025-11-20