Compliance Management System of CORESTATE
CORESTATE’s Compliance Management System (CMS) is an essential component of our corporate governance. The objective is to ensure compliance with external regulations such as laws and ordinances on the one hand and compliance with internal guidelines on the other. The essential elements of the CMS include the identification of the main risks that may arise from violations of laws and regulations, the information and training of employees on the content and significance of the regulations relevant to them, and the continuous implementation of measures to prevent violations of laws and internal guidelines.
The CMS also serves to prevent misconduct, to identify potential risks to the probity and legal compliance of our actions at an early stage, and to take appropriate preventive measures. In the event that a risk is realized, the focus is on responding appropriately and subsequently analyzing the reasons and developing and implementing process or control adjustments to prevent the risk from being realized again.
CORESTATE’s CMS is divided into the following categories:
The compliance organization covers the entire CORESTATE Capital Group. The Chief Compliance Officer reports to the Management Board and Supervisory Board at regular intervals. The CORESTATE Capital Group has introduced a group-wide e-learning system through which comprehensive training and education of employees is carried out.
The CMS defines binding principles for all employees, which are documented in the CORESTATE Capital Group’s Code of Conduct and Group Guidelines. The CORESTATE Code of Conduct can be viewed here. The Code of Conduct describes the values and principles that guide us in our daily cooperation within the CORESTATE Capital Group and towards shareholders, investors, customers, business partners and other stakeholders. These values are the cornerstones and essential elements of our corporate culture.
Contacting the Compliance Department of CORESTATE
Please contact the Compliance Department of CORESTATE Capital Group if you have any questions regarding compliance issues at CORESTATE Capital Group or if you have specific indications of any legal violations at CORESTATE Capital Group.
Contact options
By e-mail: compliance@corestate-capital.com
By mail:
CORESTATE Capital Group GmbH
Compliance Department
Mainzer Landstraße 41-45
60329 Frankfurt am Main
Core elements of the CMS of the CORESTATE Capital Group
Compliance Goals
Prevention of violations of laws and regulations
Compliance Risks
Identification of individual business risks
Compliance Program
Derivation of the compliance program on the basis of the identified compliance risks
Compliance Communication
Regular training of employees in e-learnings and face-to-face meetings as well as regular communication on compliance topics
Compliance monitoring and improvement
Monitoring of compliance through reporting, regular testing and continuous improvement through the derivation of measures
Compliance Culture
Establishing our values in the Code of Conduct as the foundation of CMS
Compliance Organization
Group-wide organization comprising Chief Compliance Officers at Group level and Compliance Delegates and Compliance Officers in the Group companies
