LEGAL & REGULATORY FRAMEWORK

Globtec recognizes its responsibility to meet the highest standards of regulatory compliance. Our investment activities and overall business operations are subject to a strict legal and regulatory framework designed to ensure transparency, security, and integrity.

COMPLIANCE POLICIES

Our compliance policies include, but are not limited to:

U.S. PATRIOT Act & AML (Anti-Money Laundering): We strictly adhere to the provisions of the U.S. PATRIOT Act and global anti-money laundering regulations to protect the integrity of the financial system.

EU Funds Transfer Regulation (EU) 2023/1113: We ensure that all money transfers comply with this regulation to guarantee the traceability of financial transactions and to combat money laundering and the financing of terrorism.

FATCA (Foreign Account Tax Compliance Act): As part of our commitment to global tax transparency, we comply with FATCA requirements.

SIX Swiss Exchange (SIX): The issuance and trading of bonds on the SIX Swiss Exchange (SIX) are subject to the specific regulations of this exchange.

INVESTMENT RESTRICTIONS AND SANCTION COMPLIANCE

We strictly adhere to all international sanction regimes. Under no circumstances may products be distributed to any sanctioned person, entity, or country identified by the following authorities:

  • Office of Foreign Assets Control (OFAC) of the U.S. Department of the Treasury
  • S. Department of State
  • United Nations Security Council
  • European Union
  • His Majesty’s Treasury of the United Kingdom
  • Bailiwick of Guernsey Sanctions Regime
  • Swiss Sanctions Framework, implemented by SECO

ADDITIONAL DISTRIBUTION INFORMATION TO OUR STRUCTURED SECURITIES OFFERED AT THE SIX – SWISS STOCK EXCHANGE

In and from Switzerland, the product may only be offered or sold to institutional and professional clients pursuant to the Swiss Financial Services Act. Public distribution is not permitted. The product may not be offered out of or into Guernsey and/or to any person domiciled in Guernsey.

For any offerings on the SIX, this includes the explicit exclusion of U.S. and U.K. persons, including firms and individuals.