Governance & Compliance

Conflicts of Interest

Sermont AM SA implements appropriate organisational and administrative measures to identify, prevent, manage and disclose conflicts of interest in accordance with applicable regulatory requirements, in particular Article 72 MiCAR.

Conflicts of interest may arise in particular between:

• Sermont AM SA and its clients, 
• different clients, 
• employees, governing bodies or affiliated companies and clients. 

To mitigate such conflicts of interest, Sermont AM SA has implemented, among others, the following measures:

• organisational separation of relevant functions, 
• internal compliance and control mechanisms, 
• rules regarding personal transactions, 
• confidentiality and information protection measures, 
• ongoing monitoring of potential conflicts of interest. 

Sermont AM SA does not accept retrocessions, distribution fees or any other inducements from third parties that could create conflicts of interest to the detriment of clients.

Where a conflict of interest cannot be avoided with reasonable certainty in a specific case, the affected client will be informed transparently prior to the provision of the relevant service.