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SERAFIN ASSET MANAGEMENT | WERTPAPIERINSTITUT I.S.D. WPIG

Address:
Serafin Asset Management GmbH
Stock Exchange Street 13 -15
60313 Frankfurt am Main
Contact:
+49 (69) 950 647 140‍
‍info[at]serafin-am.com

Managing Director:
Silvio Halsig | Dr. Philipp Moritz Hetzer | Thorsten Ott
Commercial Register: Frankfurt am Main Local Court | HRB 124832
UST-Ident number: DE342602516
BaFin ID: 10160475

SERAFIN ASSET MANAGEMENT GMBH IS AUTHORIZED TO PROVIDE THE FOLLOWING SECURITIES SERVICES:

  • Investment brokerage pursuant to Section 2 (2) No. 3 WpIG
  • Acquisition brokerage pursuant to Section 2 (2) No. 5 WpIG
  • Investment advice pursuant to Section 2 (2) No. 4 WpIG
  • Financial portfolio management pursuant to Section 2 (2) No. 9 WpIG

SERAFIN ASSET MANAGEMENT GMBH IS AUTHORIZED TO PROVIDE THE FOLLOWING ANCILLARY SECURITIES SERVICES:

the preparation or dissemination of recommendations or proposals of investment strategies within the meaning of Article 3 (1) No34 of Regulation EU No 596/2014 (investment strategy recommendation) or of investment recommendations within the meaning of Article 3 (1) No35 of this Regulation(investment recommendation) pursuant to Section 2 (3) No 5 WpIG

Serafin Asset Management GmbH is not authorized to obtain ownership or possession of funds or securities of customers when providing investment services.

COMPETENT SUPERVISORY AUTHORITY:

Federal Financial Supervisory Authority (BaFin)
Marie-Curie-Strasse 24-28
60439 Frankfurt
PO Box 50 01 54
60391 Frankfurt

Phone: +49 (0) 228 41 08-0
Fax: +49 (0) 228 41 08-123
E-mail: poststelle-ffm@bafin.de
Internet: www.bafin.de

OUT-OF-COURT DISPUTE RESOLUTION

Serafin Asset Management GmbH is a member of the Verband unabhängiger Vermögensverwalter Deutschland e.V. (VuV) (Association of Independent Asset Managers in Germany) and is obliged under its articles of association to participate in dispute resolution procedures of the VuV ombudsman's office. The arbitration board of the Verband unabhängiger Vermögensverwalter Deutschland e.V. (VuV - Association of Independent Asset Managers Germany) is responsible for disputes under asset law arising from securities service contracts: VuV-Ombudsstelle, Stresemannallee 30, 60596 Frankfurt am Main, http://vuv-ombudsstelle.de.

EUROPEAN ONLINE DISPUTE RESOLUTION PLATFORM

The European Commission has established a European Online Dispute Resolution (ODR) platform at ec.europa.eu/consumers/odr/. Consumers can use the ODR platform for the out-of-court settlement of a dispute arising from online contracts for services with a company established in the EU.
Serafin Asset Management does not participate in online dispute resolution.

‍LEGAL NOTES:

Serafin Asset Management GmbH makes every effort to provide correct and up-to-date information on its website. Nevertheless, we cannot assume any liability for the correctness, up-to-dateness and completeness of the information provided on this website. The same applies to the content of external websites to which this site refers directly or indirectly via hyperlinks and over which Serafin Asset Management GmbH has no influence. Against this background, Serafin Asset Management GmbH expressly distances itself from the content and design of such external websites. The Serafin Asset Management GmbH website, including the elements available on the website such as texts, images, photos, videos and graphics, are generally protected by copyright. Any unauthorized use outside the limits of copyright law is prohibited without permission. In particular, commercial use of the contents of our website is prohibited.

 

The content of this website is directed at persons who are resident in Germany or Switzerland or who access this website from Germany or Switzerland.

This website and the information provided on this website shall not constitute an offer to sell or a solicitation to purchase or subscribe any shares or units in the funds mentioned on this website. The key investor information, the prospectus, the annual and semi-annual reports of the funds are published on this website to comply with statutory requirements.

Subscriptions will only be received and shares or units in the funds issued on the basis of the most recent key investor information and the contractual conditions set out in the prospectus in conjunction with the most recent annual and/or semi-annual report of the fund.

A financial investment is associated with risks. The value of a fund unit/share or investment, as well as the income derived from it, may be subject to fluctuations and are not guaranteed. The investor may not get back the full amount invested. Past performance is not indicative of future performance that may be expected.

The following information is general in nature and is not and may not be construed as constituting investment advice or any form of recommendation by Serafin Asset Management. Prior to any potential investment users should carefully consider the suitability of the investment for their individual circumstances and personal perspectives and should consult their tax, legal, financial, investment or other advisor.

For website visitors located in Germany: Please note the additional legal notices and the privacy policy.

For website visitors located in Switzerland: Please note legal information and the privacy policy as well as the information obligations (FINSA).

Any person who is a U.S. person (as such term is defined in Regulation S under the U.S. Securities Act of 1933) is not eligible to invest in the investment funds indicated on this website. I hereby certify that I am neither a citizen nor a resident of the United States of America and that I do not have a place of business in the United States of America and, in particular, that I am not a U.S. person (as such term is defined in Regulation S under the Securities Act of 1933).

The content of this website is directed at persons who are resident in Germany or Switzerland or who access this website from Germany or Switzerland.

This website and the information provided on this website shall not constitute an offer to sell or a solicitation to purchase or subscribe any shares or units in the funds mentioned on this website. The key investor information, the prospectus, the annual and semi-annual reports of the funds are published on this website to comply with statutory requirements.

Subscriptions will only be received and shares or units in the funds issued on the basis of the most recent key investor information and the contractual conditions set out in the prospectus in conjunction with the most recent annual and/or semi-annual report of the fund.

A financial investment is associated with risks. The value of a fund unit/share or investment, as well as the income derived from it, may be subject to fluctuations and are not guaranteed. The investor may not get back the full amount invested. Past performance is not indicative of future performance that may be expected.

The following information is general in nature and is not and may not be construed as constituting investment advice or any form of recommendation by Serafin Asset Management. Prior to any potential investment users should carefully consider the suitability of the investment for their individual circumstances and personal perspectives and should consult their tax, legal, financial, investment or other advisor.

For website visitors located in Germany: Please note the additional legal notices and the privacy policy.

For website visitors located in Switzerland: Please note legal information and the privacy policy as well as the information obligations (FINSA).

Any person who is a U.S. person (as such term is defined in Regulation S under the U.S. Securities Act of 1933) is not eligible to invest in the investment funds indicated on this website. I hereby certify that I am neither a citizen nor a resident of the United States of America and that I do not have a place of business in the United States of America and, in particular, that I am not a U.S. person (as such term is defined in Regulation S under the Securities Act of 1933).

The content of this website is directed at persons who are resident in Germany or Switzerland or who access this website from Germany or Switzerland.

This website and the information provided on this website shall not constitute an offer to sell or a solicitation to purchase or subscribe any shares or units in the funds mentioned on this website. The key investor information, the prospectus, the annual and semi-annual reports of the funds are published on this website to comply with statutory requirements.

Subscriptions will only be received and shares or units in the funds issued on the basis of the most recent key investor information and the contractual conditions set out in the prospectus in conjunction with the most recent annual and/or semi-annual report of the fund.

A financial investment is associated with risks. The value of a fund unit/share or investment, as well as the income derived from it, may be subject to fluctuations and are not guaranteed. The investor may not get back the full amount invested. Past performance is not indicative of future performance that may be expected.

The following information is general in nature and is not and may not be construed as constituting investment advice or any form of recommendation by Serafin Asset Management. Prior to any potential investment users should carefully consider the suitability of the investment for their individual circumstances and personal perspectives and should consult their tax, legal, financial, investment or other advisor.

For website visitors located in Germany: Please note the additional legal notices and the privacy policy.

For website visitors located in Switzerland: Please note legal information and the privacy policy as well as the information obligations (FINSA).

Any person who is a U.S. person (as such term is defined in Regulation S under the U.S. Securities Act of 1933) is not eligible to invest in the investment funds indicated on this website. I hereby certify that I am neither a citizen nor a resident of the United States of America and that I do not have a place of business in the United States of America and, in particular, that I am not a U.S. person (as such term is defined in Regulation S under the Securities Act of 1933).

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