Com­pliance

The materiality analysis showed that the issue of compliance is of the utmost importance to our stakeholders. In order to comply with rules and regula-tions in the course of conducting our business activities, we have established independent compliance offices. You can find detailed information about these offices and about their areas of activity in Helaba’s annual report and disclosure report (disclosure of Helaba Group pursuant to Capital Require-ment Regulation (CRR)).

The internal audit and compliance offices are directly attached to the Board of Managing Directors as independent functions. In this way, we manage and monitor compliance risks effectively and comply with statutory requirements.

Combatting corruption

All forms of illegal activity are unacceptable for Helaba and its employees. In terms of our business activities, we pay particularly close attention to pre-venting white-collar crime, e.g. fraud, corruption or bribery. Binding rules governing the investigation of suspicious circumstances are enshrined in op-erating procedures. Should any suspicious circumstances be substantiated, we will take legal action.

As a member of the UN Global Compact, we reject all forms of corruption, including extortion and bribery. All forms of bribery and corruption are pro-hibited at Helaba. This is documented and detailed in our binding Code of Conduct.

In order to ensure that our employees make business decisions in an objective and transparent way based on plausible factual arguments, we have established guidelines on the exchange of gifts. They provide support and standardises approval obligations that guarantee a transparent handling of gifts.

Tax compliance

Helaba’s tax compliance management is designed to monitor tax-relevant business processes in an effective and risk-oriented manner. In this area we are developing suitable measures that guarantee adherence to our tax obligations.
Artificial tax structures and the avoidance of arm’s length principles are ruled out. We do not engage in the provision of purely tax-induced structures in relation to products or in our customer business.

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