The diversification of our businesses and the permanent enrichment of Uptevia’s product offering, in a complex and constantly changing legislative environment, require us to exercise great vigilance on the compliance of our activities and operations.
The Compliance Department carries out this mission. It contributes to the respect of the principles of loyalty, integrity and honesty in Uptevia’s relations with its customers, their shareholders, their investors and its suppliers, assurance of trust and security.
To this end, the Compliance Department, as part of the internal control system, takes the necessary measures to control the risks of non-compliance at Uptevia.
In this context, its essential functions are to ensure compliance with the banking and financial legislations or regulations, or with the professional standards related to ethics, including those internally defined by Uptevia or its shareholders: Crédit Agricole and BNP Paribas.
The main priorities in the Compliance Practice at Uptevia are Fighting against financial crimes, such as corruption, money laundering and terrorist financing, tax evasion, complying with international sanctions and embargoes, detecting and alerting our regulators about market abuse suspicions, preventing conflicts of interest, ensuring that the interests of investors and clients are respected.
The Compliance Department also ensures that the code of conduct and ethical rules are applied by all employees. It consists in sharing the essential principles of individual and collective behavior such as integrity, rigor and a sense of service.
Compliance is mandatory for all Uptevia stakeholders (directors, managers and employees). Our compliance commitments are governed by guidelines and procedures. These commitments are reiterated through various training courses for staff and managers, implemented and monitored by the Compliance Department.
