Legal Notice

ATVANTIS Asset Management GmbH

Competent Supervisory Authority

Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, BaFin), Graurheindorfer Straße 108, 53117 Bonn, Germany, www.bafin.de, poststelle(at)bafin.de, Phone: +49 228 4108 0

Registered under ID number: 116236

Register lookup: www.bafin.de

Licenses

• License for investment advice (Sec. 2 (2) No. 4 German Securities Institutions Act, WpIG), date of issue: Nov 1, 2007
• License for investment brokage (Sec. 2 (2) No. 3 WpIG), date of issue: Sept 2, 1999
• License pursuant to Sec. 34i German Trade Regulation Act (Gewerbeordnung, GewO), Federal Republic of Germany
• License pursuant to Sec. 34c GewO
• Dealing on own account pursuant to Sec. 15 (3) WpIG

ATVANTIS Asset Management GmbH is not authorized to obtain ownership of, or possession over, clients’ funds or securities when providing financial services (Sec. 32 (2) sentence 2 German Banking Act, KWG).

The license held by ATVANTIS Asset Management GmbH is restricted pursuant to Sec. 15 (9) WpIG to the effect that the company is not authorized to obtain ownership of, or possession over, client funds or client securities.

 

Investor Compensation

ATVANTIS Asset Management GmbH is affiliated with the Compensation Scheme of German Securities Trading Companies (Entschädigungseinrichtung der Wertpapierhandelsunternehmen, EdW) in accordance with the German Investor Compensation Act (Anlegerentschädigungsgesetz, AnlEntG).

Out-of-Court Complaint and Redress Procedure – Competent Consumer Arbitration Bodies

ATVANTIS Asset Management GmbH takes part in dispute resolution proceedings before the consumer arbitration body named below. Without prejudice to their right to bring an action before the courts, consumers may call on the arbitration body named below within its respective area of jurisdiction. ATVANTIS Asset Management GmbH does not take part in dispute resolution proceedings before any consumer arbitration body other than the one named below.

For disputes with consumers arising from the application of the provisions of the German Investment Code (Kapitalanlagegesetzbuch):

Arbitration Board of the Federal Financial Supervisory Authority, Graurheindorfer Str. 108, 53117 Bonn, Germany, Phone: +49 228 41080, Fax: +49 228 410862299, E-mail: schlichtungsstelle@bafin.de, Website: www.bafin.de/schlichtungsstelle

Sustainability-Related Disclosure

Approach to Sustainability Risks

ATVANTIS Asset Management GmbH currently does not take sustainability risks within the meaning of Regulation (EU) 2019/2088 (Disclosure Regulation) into account when selecting and recommending financial products as part of its investment advice.

Adverse Impacts on Sustainability Factors

ATVANTIS Asset Management GmbH currently does not consider the principal adverse impacts of investment decisions on sustainability factors within the meaning of Art. 4 of Regulation (EU) 2019/2088 as part of its investment advice.

This is mainly because the information required for this purpose is not yet provided by product manufacturers, for all financial products under consideration, in a uniform and sufficiently comparable format. The company reviews this position on a regular basis and will take such impacts into account once this becomes possible.

Remuneration Policy

As sustainability risks are currently not taken into account in investment advice, they do not form part of the remuneration policy of ATVANTIS Asset Management GmbH either.

Impact of Sustainability Risks on Returns

As sustainability risks are currently not taken into account when selecting and recommending financial products, no separate assessment is made of their possible impact on the returns of the recommended financial products.

As of: September 2026

ATVANTIS Finanz- und Versicherungsmakler GmbH

Competent Supervisory and Licensing Authority 

Chamber of Industry and Commerce of Gera (Industrie- und Handelskammer zu Gera), Gaswerkstraße 23, 07546 Gera, Germany, Phone: +49 365 8553 0, E-mail: info(at)gera.ihk.de

Member of the IHK Gera

Licenses

• License pursuant to Sec. 34c GewO, loan brokerage
• License pursuant to Sec. 34d (1) GewO (insurance broker), granted by the IHK Gera

Registered in the German Insurance Intermediaries Register (Vermittlerregister) under registration no.: D-P6C2-9I1PW-83

This registration can be verified at the joint register office: German Chamber of Industry and Commerce (Deutsche Industrie- und Handelskammer, DIHK), Breite Straße 29, 10178 Berlin, Germany, Phone: 0180 6 00 58 50 (€0.20 per call from the German landline network; up to €0.60 per call from mobile networks), Register lookup: www.vermittlerregister.info

Applicable Professional Regulations

• Sec. 34d German Trade Regulation Act (Gewerbeordnung)
• Sec. 59–68 German Insurance Contract Act (VVG)
• German Insurance Intermediary Ordinance (VersVermV)

These professional regulations can be viewed and accessed via the website operated by the Federal Ministry of Justice and juris GmbH: www.gesetze-im-internet.de

No insurance company holds a stake of more than 10% in ATVANTIS, and ATVANTIS does not hold a stake of more than 10% in any insurance company.

Competent Arbitration Bodies

• Insurance Ombudsman (Versicherungsombudsmann e.V.), Postfach 080622, 10006 Berlin, Germany – www.versicherungsombudsmann.de
• Ombudsman for Private Health and Long-Term Care Insurance (Ombudsmann der privaten Kranken- und Pflegeversicherung), Kronenstraße 13, 10117 Berlin, Germany – www.pkv-ombudsmann.de
• Ombudsman for Private Building Societies (Ombudsmann der privaten Bausparkassen), Postfach 303079, 10730 Berlin, Germany, www.bausparkassen.de

Sustainability-Related Disclosure on the Distribution of Insurance Products

ATVANTIS Finanz- und Versicherungsmakler GmbH currently does not take sustainability risks within the meaning of Regulation (EU) 2019/2088 (Disclosure Regulation) into account when selecting and recommending insurance-based investment products as part of its insurance advice on insurance-based investment products.

Adverse Impacts on Sustainability Factors

ATVANTIS Finanz- und Versicherungsmakler GmbH currently does not consider the principal adverse impacts of investment decisions on sustainability factors within the meaning of Art. 4 of Regulation (EU) 2019/2088 as part of its insurance advice.

This is mainly because the information required for this purpose is not yet provided by product manufacturers, for all insurance-based investment products offered, in a uniform and sufficiently comparable format. The company reviews this position on a regular basis and will take such impacts into account once this becomes possible.

Remuneration Policy

As sustainability risks are currently not taken into account in insurance advice, they do not form part of the remuneration policy of ATVANTIS Finanz- und Versicherungsmakler GmbH either.

Impact of Sustainability Risks on Returns

As sustainability risks are currently not taken into account when selecting and recommending insurance-based investment products, no separate assessment is made of their possible impact on the returns of the recommended insurance-based investment products.

As of: September 2026