Document · NE-GOV-003
Compliance
The compliance function ensures that the company's activities comply with applicable regulations, internal policies, and agreements entered into. The function is organizationally separate from investment management and reports to the board of directors.
Section 01
Areas of responsibility
- Regulatory compliance
- Ongoing monitoring of relevant rules, including Danish AIFM regulations, anti-money laundering legislation, personal data protection, and corporate law.
- Internal policies
- Development, maintenance, and monitoring of the company's policies, and ensuring that relevant employees are familiar with them.
- Conflicts of interest
- Identification, recording, and management of potential conflicts of interest at the company, employee, and transaction levels.
- Reporting
- Receipt and handling of internal reports, including through the established whistleblower program.
Section 02
Documentation
The compliance function maintains a consolidated control document covering completed controls, observations, remediation plans, and status. This documentation forms part of the independent audit.
Section 03
Reporting to the board
The function reports in writing to the board of directors at least quarterly. The report covers the status of the control program, significant observations, regulatory changes, and follow-up on previously identified matters. Material observations are communicated without delay to the board chair and executive management.
Contact
For investor inquiries, due diligence materials, or discussions about this document.
Contact investor relations+45 81 91 50 00
info@nordicestates.dk
info@nordicestates.dk
