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Legal, Compliance & Tax

On the safe side

In all our activities we stay firmly on the safe side, thereby guaranteeing our clients that our banking business is legally compliant.

In every country in which VP Bank Group is active our business activities are supervised by the authorities of the local jurisdiction. Our task is to serve our clients by ensuring that our services are legally compliant at all times. Although market regulations are constantly evolving, thanks to our dynamic structures and measures in the field of compliance we can react flexibly to these developments.

As an international financial service provider based in Liechtenstein we are governed by the following institutions.

Responsibilities

Financial Market Authority
The parent company of VP Bank Group is VP Bank Ltd in Vaduz. Accordingly, it is subject to supervision by the Liechtenstein Financial Market Authority (FMA).
Stock exchange
Because the parent company's "A" registered shares are listed on the SIX Swiss Exchange, VP Bank Group is subject to the Swiss Federal Law on Stock Exchanges and Securities Trading and the associated ordinances.
International
In every country in which VP Bank Group's subsidiaries and representative offices are active, the Group's business activities are supervised by the competent authorities.

Relevant laws and ordinances

In all its business activities VP Bank must comply with the following laws and associated ordinances in particular:

  • Payment Services Act (PSA)
  • Law on Undertakings for Collective Investment in Transferable Securities (UCITSA)
  • Law on Investment Undertakings for Other Assets or Real Estate (Investment Undertakings Act; IUA)
  • Law on Alternative Investment Fund Managers (AIFM Act; AIFMA)
  • Law on the Disclosure of Information regarding Issuers of Securities (Disclosure Act; DisA)
  • Securities Prospectus Act (SPA)
  • Law against Market Abuse in the Trading of Financial Instruments  (Market Abuse Act; MAA)
  • Law on Takeover Bids (Takeover Act; TkA)
  • Law on the Restructuring and Resolution of Banks and Investment Firms  (Restructuring and Resolution Act; RRA)
  • Code of Personal and Company Law (CPCL)
  • Law on Banks and Investment Firms (Banking Act, BankA)
  • Law on Professional Due Diligence in the Prevention of Money Laundering, Organised Crime and the Financing of Terrorism (Due Diligence Act, DDA)