The building of Bank Vontobel - exterior view

MiFID - Markets in Financial Instruments Directive

MiFID is an EU directive designed to harmonize financial markets within the single European market. Its aim is to improve investor protection, provide greater financial market transparency and ensure the highest level of integrity of financial service providers. The requirements cover a broad scope of topics: conduct of business obligations, organizational requirements, best execution, possible conflicts of interest, conditions governing the operation of regulated markets and trading platforms, systematic internalisation as well as obligations concerning pre-trade and post-trade transparency. MiFID requirements apply to EU/EEA member states and the financial services providers that operate in them.

Vontobel has always been committed to honest, ethical and professional trading. In this sense, the MiFID guidelines in many points formalize current practice and are reflected in Vontobel's core values, principles and aims.

Implementation of MiFID will take place in accordance with of the national legislation of the individual EU/EEA member states. Clicking on the links below will take you directly to the information about implementation of the guidelines by Vontobel which is relevant for your specific location.

Vontobel
22/09/2022 General Conflict of Interest Policy of the Vontobel Holding AG Download
08/09/2021 Vontobel Complaint Management Download

Bank Vontobel AG

01/12/2022 Best Execution and Order Handling Policy - Bank Vontobel AG Download
26/04/2023 Top 5 Counterparty Reporting 2022 Download
29/04/2022 Top 5 Counterparty Reporting 2021 Download
30/06/2021 Statement of Commitment to the FX Global Code Download
12/03/2021 ETD Terms and conditions for Institutional Clients Download
12/03/2021 ETD Terms and conditions for Private Clients Download
24/11/2017 ETD Clearing Risk Disclosure Download

 

Wealth Management
01/04/2023 Information on Investor Protection Download
01/08/2022 Sustainable investing under the new EU regulatory framework Download
10/03/2021 Vontobel sustainable finance disclosures on entity level and related policies Link
10/03/2021 Sustainable finance disclosures of funds available at Vontobel Link

 

Transaction Banking
01/12/2023 Information regarding Transaction Banking and cosmofunding Download
01/10/2023 Vontobel Trading Venues Download
23/11/2017 Terms of Business Download
23/11/2017 Electronic order placing via FIX Standard Protocol Download

Vontobel Asset Management AG

Best Execution in Asset Management Download
Information on Top 5 Counterparties Download 2022
Download 2021
Information on investor protection Download

Vontobel Asset Management S.A.

Best Execution in Asset Management Download
Complaints Management Download
Conflict of Interests Policy Download
Information on Investor Protection Download
Remuneration Policy Download
Voting Policy Download

 

Vontobel Asset Management S.A. - Munich Branch (Vescore)
MiFID II – Information (German only) Download
Best Execution Policy (German version is binding) Download
Complaints Management (German only) Download
Conflict of Interests Policy (German only) Download
Information on Top 5 Counterparties (German only) Download 2022
Download 2021

 

Vontobel Asset Management S.A. – Milan Branch
Information Document Download
Information on the Top 5 Counterparties Download 2022
Download 2021

Bank Vontobel Europe AG, Germany

The documents available here for downloading provide detailed information on Bank Vontobel Europe AG and its securities services, its execution policy, and how it deals with potential conflicts of interest.

General Information
15/02/2024 Report der Top Ausführungslätze 2023 Download
24/03/2023 Report der Top Ausführungslätze 2022 Download
21/03/2022 Report der Top Ausführungslätze 2021 Download
11/03/2021 Report der Top 5 Ausführungsplätze 2020 Download
24/02/2020 Report der Top 5 Ausführungsplätze 2019 Download
13/03/2019 Report der Top 5 Ausführungsplätze 2018 Download
04/05/2018 Reporting of the top 5 Execution Venues Download

 

Wealth Management
01/04/2023 Information on Investor Protection Download
01/08/2022 Sustainable investingunder the new EU regulatory framework Download
22/05/2023 Conflict of Interest Policy Download
05/07/2021 Best Execution Policy - Vontobel Wealth Management Download
08/12/2020 Complaint Policy Download

 

Wealth Management Links
10/03/2021 Vontobel sustainable finance disclosures on entity level and related policies Link

 

Structured Solutions & Treasury, Digital Investing
06/02/2023 Client Information Download
04/04/2023 Execution Principles Download
22/05/2023 Conflict of Interest Policy Download
08/05/2023 Information regarding systematic internalisation Download
08/12/2020 Complaint Policy Download
08/05/2023 Terms of Business Download

Vontobel Wealth Management SIM S.p.A., Italia

31/07/2023 Informativa in materia di valutazione del capitale interno Download
31/07/2023 Informativa Trasmissione Ordini Download
27/04/2023 Informativa remuneration policy 2023 Download
10/06/2022 Informativa remuneration policy 2022 Download
10/06/2022 Informativa in materia di valutazione del capitale interno Download
10/06/2022 Informativa in materia di trasmissione ordini Download
01/08/2022 Gli investimenti sostenibili ai sensi del nuovo quadro normativo dell’UE Download
28/04/2022 Informativa modello 231, parte generale Download
01/07/2021 Informativa in materia di trasmissione ordini Download
01/07/2021 Informativa in materia di valutazione del capitale interno Download
18/05/2020 Strategia di Esecuzione e Trasmissione ordini Download

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