Regulatory Compliance

Guarantus Capital strives to implement and comply with the highest standard of Corporate Governance and is determined to build sound business operations on the basis of transparency, integrity, accountability and ethics and preserve our reputation as a good corporate citizen.With respect to raising capital and investments  Guarantius has adopted the highest standards of regulatory compliance and inacts within the rules and regulations of the applicable companies acts, securities regulations as well as the tax rulings of the regulatory bodies in jurisdictions where we operate and conclude our transactions. Furthermore we act in accordance with special regulations including but not limited to rulings regarding privacy and data protection, ant-moneyl aundering, terrorist financing and special compliance rules like FATCA. 
Guarantius is a limited liability company, organized under the laws of the Kingdom of Spain  with its principal place of business Calle Santa Isabel Nª2, 1st Floor, Leganes 28911, Madrid Spain. The company is registered at the registrar of companies in Madrid, incorporation number T 32860, F 30, S 8, H M 591555, I/A 1 (18.11.14), date of incorporation 11 November 2014, with fiscal number B-87143723.

Directors of the Company are Mr. Piet Saarloos (President), Mr. Angel Ruben Fernandez Gomez, Vice-President and Chief Executive Officer and Mrs. Sonia Maria Amado Narvaez (Vice-President and Chief Operating Officer).
We ensure we comply with the latest global accounting standards and the regulatory and statutory reporting requirements of the Spanish authorities. We provide timely and accurate accounting reports to our institutional investors and all other stakeholders. We apply only methodologies that are approved by our external auditors. All administrative and accounting operations are undertaken by an independent accredited accounting firms. All monetary transactions are conducted by top-rated banks, clearing and settlement institutions.
We have commissioned an external auditor, reporting to the Shareholders. The mission, scope of work, authority and responsibilities are laid down in the Audit Charter, which is in conformance with the IIA standards and endorsed by the Board and approved by the external auditor. The external auditor provides an independent assessment of the design and effectiveness of internal controls over the risks to our business performance and provides specific recommendations for improving the governance, risk and control framework. The external auditor performs the audit on the consolidated financial statements and the statutory financial statements. In this role, the external auditor attends the annual General Meeting of Shareholders. As part of the audit engagement, the external auditor issues a management letter to the Board in which (potential) improvements in the adequacy and effectiveness of the governance, risk and control framework are being recommended. The Board will make recommendations to the General Meeting once every five years as to the appointment of the external auditor.

The internal auditor undertakes the assessment and reporting on significant current and emerging business performance issues and risks, the administrative framework, internal control systems and regulatory compliance processes. The internal auditor submits periodic reports, with key performance indicators (including audit plan realization and implementation of recommendations) to the Board. This includes a semi-annual report on the adequacy and effectiveness of systems of control
Data Protection
All personal data of prospective buyers and bondholders contained in any document, in any format, and any further personal data received and collected in the course of the relationship may be collected, recorded, stored, adapted, transferred or otherwise processed and used (“processed”) by us and other directly or indirectly affiliated companies and any of its service providers. Such data shall be processed for the purposes of administration, accounting, compliance and recording of the business relationship. To this end, data may be transferred to companies appointed to support tour business activities.

Any personal data relating to natural persons will be processed in compliance with the applicable Dutch laws and regulations relating to the protection of persons towards the treatment of personal data. We may disclose personal data to our service providers or if required to do so by force of law or regulatory authorities. Clients, upon written request, be given access to their own personal data held in our administrations and may request in writing the rectification of and Guarantius will upon written request, rectify, personal data. No personal data shall be held by us for longer than necessary with regard to the purpose of the business relationship.
Anti-Money Laundering
Pursuant to the applicable laws and regulations relating to the prevention of money laundering and financing of terrorism obligations have been imposed on all professionals of the financial sector to prevent the use of securitization undertakings for money laundering purposes. Within this context a procedure for the identification of clinets has been imposed. Namely, the KYC and Confidentiality Agreement of a prospective client must be accompanied, where applicable, by a copy of its articles of association or constitutive documents and a certified extract from the relevant commercial register and identification on its authorized signatories and economic beneficiaries, and any other documentation that may be requested. Of particular interest is the evidence of the origin the funds and the historical transactions and balances as well as underlying assets of financial securities that we manage, trade and invest.

It is generally accepted that professionals of the financial sector resident in a country which has ratified the recommendations of the FATF are deemed to be entities having an identification obligation equivalent to that required under the applicable laws of the Netherlandsg. The complete updated list of countries having ratified the recommendations of the FATF is available on Other guidelines, rules and recommendations may be taken into account, as the case may be. Any information provided in this context is collected for anti-money laundering and anti-financing of terrorism compliance purposes only.