DIC Asset AG

Compliance Management

In the DIC Asset Group we commit to act responsibly and lawfully.

Our compliance guidelines implement standard and binding rules for all employees throughout the Group.

Compliance Guidlines


Protection against discrimination

Employees prevent any form of discrimination, disadvantage or undesirable behaviour, particularly on grounds of ethnic origin, gender, religion or belief, disability, age or sexual orientation.


Avoidance of conflicts of interest and corruption risks

DIC Asset Group companies reject any kind of corruptive behaviour and the misuse of decision-making powers entrusted to them. The giving and accepting of gifts is regulated by binding provisions in the Compliance Guidelines and subject to the principle of maintaining transparent business activities. Employees must avoid giving the appearance of granting an advantage when dealing with government officials. Under no circumstances must benefits be granted to government officials in order to persuade them to act in contradiction to their duties. Private secondary employment and company investments must not influence the employee’s actions as stipulated in their employment contract.


Data protection

Employees undertake to safeguard trade and company secrets and to comply with applicable data protection laws.


Capital market requirements/insider trading bans

Conducting insider trading, advising or inducing third parties to conduct insider trading and the unauthorised disclosure of insider information are prohibited.


No Money laundering

DIC Asset AG does not tolerate money laundering and obliges its employees to report suspicious behaviour by business partners and advisers and observes all relevant provisions and instructions in this regard.


Prohibited agreements

Any distortion of competition or corrupt practices in contravention of competition law are strictly rejected. In situations where employees see a violation of competition rules, they are encouraged to voice their concerns clearly, expressly distance themselves from the content and inform the Compliance Officer immediately.


Reports of misconduct and violations

Employees are encouraged to report misconduct and violations of statutory provisions or regulations and internal company guidelines. They can report such incidents to the Compliance Officer, relevant supervisor, Management Board, personnel department or via a whistleblower system that also enables employees to submit reports anonymously.



Employees can expect sanctions under employment law for violating statutory provisions and internal company guidelines. The DIC Asset group companies also reserve the right to report a crime or file a criminal complaint in the event of a criminal offence.


Whistleblower system

All employees are encouraged to report misconducts and violations of statutory provisions or regulations and internal company guidelines.

Via the whistleblower system “Safe Channel” you can submit reports anonymously.