Compliance and Regulatory Assurance

As the German-based asset management entity of Baker Brothers Advisors, Baker Vermögensverwaltung GmbH (BVG) adheres to the principle of “Compliance First · Safety Above All”, committed to providing clients with transparent, stable, and trustworthy asset management services.

We strictly comply with the German Capital Investment Code (Kapitalanlagegesetzbuch, KAGB), the EU Alternative Investment Fund Managers Directive (AIFMD), and other applicable laws and regulations. BVG has established a comprehensive compliance and risk management framework covering the entire process — from product design and investment execution to asset custody and information disclosure.

Fund Structure Compliance Management

Our fund offerings include:
German Spezialfonds (institutional special funds)
Luxembourg SCSp (Société en Commandite Spéciale – Special Limited Partnership)
Liechtenstein VV Funds (diversified investment funds)
All fund structures are designed by specialized legal teams to ensure full compliance with German and EU regulatory requirements regarding legal framework, tax structuring, and investment restrictions.

Asset Custody and Segregation Mechanisms

All fund assets are held with BaFin-approved and licensed depositary banks (Verwahrstellen)
Depositaries operate independently from the fund manager and maintain strict account segregation
Client assets are separated from the company’s own funds to minimize operational and moral hazard risks

Independent Auditing and Transparency

Core products undergo annual financial and operational audits by certified public accounting firms
Ensuring transparent portfolio structures, traceable transactions, and clear asset flow documentation

Client Onboarding and Anti-Money Laundering (AML) Framework

Strict enforcement of the Know Your Customer (KYC) principle
Compliance with the German Anti-Money Laundering Act (Geldwäschegesetz, GwG)
Procedures covering identity verification, source-of-funds checks, and monitoring/reporting of suspicious transactions

Legal and Tax Compliance Coordination

Long-term partnerships with leading German and international law firms, tax advisors, and fund registration agencies
Ensuring compliance and efficiency in cross-border investments, tax structuring, and the application of double taxation treaties
BVG has built a robust, transparent, and auditable foundation in legal, compliance, and risk control. With the prudence of German standards and the efficiency of international best practices, we provide our clients with an asset management platform worthy of long-term trust.