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.
Bank Vontobel AG
| 01/11/2023 | 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 |
| 01/04/2024 | Implementation of MiFID ESG preferences in wealth management | Download |
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 2023 Download 2022 |
| 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. – Milan Branch
| Information Document | Download |
| Information on the Top 5 Counterparties | Download 2023 Download 2022 |
| Authorized Counterparties Annex | Download |
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 |
Private Clients
| 01/04/2023 | Information on Investor Protection | Download |
| 01/08/2022 | Sustainable investingunder the new EU regulatory framework | Download |
| 01/04/2024 | Implementation of MiFID ESG preferences in wealth management | 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 |
| 10/03/2021 | Vontobel sustainable finance disclosures on entity level and related policies | Link |
Institutional Clients
| 01/10/2024 | Conflict of Interest Policy | Download |
| 01/10/2024 | Best Execution Policy - Vontobel Institutional Clients | Download |
| 01/10/2024 | Complaint Policy | Download |
| 01/10/2024 | Client Information | Download |
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
| 10/07/2024 | Informativa Trasmissione Ordini | Download |
| 10/07/2024 | Informativa in materia di valutazione del capitale interno | Download |
| 10/06/2024 | Informativa remuneration policy 2024 | Download |
| 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 |