Corporate Governance
1. Introduction
Plutus Holding AG (“Plutus”) is committed to upholding the highest standards of corporate governance, transparency, and accountability. As a Swiss financial holding company overseeing regulated subsidiaries in portfolio management, crypto brokerage, and asset tokenization, we recognize that strong governance practices are essential to maintaining the trust of our clients, partners, employees, regulators, and shareholders.
Our corporate governance framework is designed to ensure responsible management, effective oversight, and sustainable value creation over the long term. It is fully aligned with applicable Swiss legislation, including the Swiss Code of Obligations, the Financial Institutions Act (FinIA), and where relevant, the principles of the Swiss Code of Best Practice for Corporate Governance.
2. Governance Structure
Plutus operates as a non-listed, privately held company governed by a two-tier structure consisting of the Board of Directors and the Executive Management. This structure ensures a clear separation between strategic oversight and operational execution.
The Board of Directors is responsible for the overall direction, supervision, and control of the company. It defines the group’s strategic priorities, approves budgets, supervises risk management and compliance, and ensures regulatory and ethical standards are met across all subsidiaries. The Board also oversees group-level appointments and succession planning. Its members are elected by shareholders and bring a combination of financial, legal, and technological expertise.
The Executive Management is responsible for the day-to-day operations of Plutus and its subsidiaries. It implements the strategy approved by the Board and ensures efficient execution of business processes, client service delivery, and internal controls. Each business line (e.g., asset management, crypto brokerage) has a dedicated executive with full operational accountability.
3. Compliance and Internal Control System
Plutus has implemented a comprehensive compliance framework designed to ensure conformity with legal, regulatory, and ethical requirements. The group’s internal control system (ICS) covers financial reporting, operational risks, IT security, and regulatory compliance. Regular internal audits and risk assessments are conducted to evaluate the effectiveness of these controls.
A Compliance Officer, reporting to the CEO and the Board, oversees the application of internal policies, regulatory reporting, and staff training. The company also maintains clear procedures for whistleblowing, conflict of interest disclosures, and the prevention of insider trading or market abu
4. Risk Management
Risk management is a core pillar of our governance model. Plutus has established group-wide risk management processes to identify, assess, monitor, and mitigate strategic, financial, operational, and compliance risks. This function operates independently from the business units to preserve objectivity and is overseen directly by the Audit and Risk Committee.
The company pays particular attention to emerging risks related to crypto-assets, digital custody, smart contracts, cybersecurity, and reputational exposure. Scenarios are periodically stress-tested, and business continuity planning is regularly reviewed.
5. Remuneration and Ethics
Remuneration at Plutus is structured to promote long-term performance, responsible behavior, and alignment with client interests. Compensation models avoid excessive risk-taking and are subject to Board approval. Ethics and integrity are embedded into our culture through a formal Code of Conduct, which outlines expected behaviors and the company’s zero-tolerance policy for corruption, discrimination, or misconduct.
6. Shareholder Rights and Communication
Although Plutus is a privately held entity, it values transparent communication with its shareholders. Key decisions are subject to shareholder approval at the General Assembly. Shareholders receive regular updates on the company’s strategic direction, financial performance, and risk position through formal reports and meetings.
7. Sustainability and ESG Commitment
Plutus integrates environmental, social, and governance (ESG) principles into its decision-making process. As a future-oriented wealth management group, we are committed to responsible innovation, ethical technology deployment, and long-term value creation for all stakeholders.
8. Policy Review
This Corporate Governance Statement is reviewed periodically to ensure its ongoing relevance, accuracy, and alignment with regulatory developments and international best practices.
Last updated: 28.06.2025