Independence review
Every new client inquiry is first recorded centrally. Before an offer is made or a mandate is accepted, a review is carried out for possible conflicts of interest or independence risks.
The mandate is reconciled with the internal register (shareholders, affiliated companies, previous mandates, personal relationships). The register is updated regularly and documented.
3. Assessment & approval
The responsible partner reviews and evaluates the results. In case of doubt, consultation takes place with the compliance function or an independent partner. Written approval is a prerequisite for accepting the mandate.
4. Documentation & archiving
The entire review process is documented in an audit-proof manner (date, reviewer, result, and, where applicable, justification for approval). The documents are retained for at least the legally required period.
5. Ongoing review
For continuing mandates, a renewed conflict review is carried out annually or in the event of material changes (e.g. change of shareholders, new activities).