LEGAL INFORMATION
Due to legal regulations (Sustainable Finance Disclosure Regulation, SFDR), we are obliged to provide the following information. We do not intend to advertise environmental or social characteristics in our investment strategies or for other specific financial instruments:
ESG – Our strategies for the integration of sustainability risks (Art. 3 and 5 of the Sustainable Financial Disclosure Regulation (SFDR))
- As a company, we want to make a contribution to a more sustainable, resource-efficient economy with the aim of reducing the risks and effects of climate change in particular.
- Environmental conditions, social upheaval and/or poor corporate governance can have a negative impact on the value of our clients’ investments and assets in a number of ways. These sustainability risks can have a direct impact on net assets, financial position and the results of operations and also on the reputation of the investment objects. As such risks cannot ultimately be completely ruled out, we have developed specific strategies for the financial services we offer to identify and limit sustainability risks.
- To limit sustainability risks, we endeavour to identify and, where possible, exclude investments in companies that have an increased risk potential. With specific exclusion criteria, we consider ourselves capable of basing investment decisions on environmental, social or company-related values. For this purpose, we generally use assessment methods recognised in the market.
- To way of identifying suitable investments is to invest in investment funds whose investment policy is already equipped with a suitable and recognised sustainability filter to reduce sustainability risks. Identifying suitable investments to limit sustainability risks can also involve using recognised rating agencies for product selection in asset management. The specific details are set out in the individual agreements.
- Our company’s strategies for taking into account sustainability risks are also incorporated into our internal organisational guidelines. Compliance with these guidelines is decisive for the evaluation of our employees’ work and therefore has a significant influence on future salary development. In this respect, the remuneration policy is in line with our strategies for incorporating sustainability risks.
Provisional non-consideration of adverse impacts on sustainability factors (Art. 4 SFDR)
- Investment decisions can have a negative impact on the environment (climate, water, biodiversity), and on social and labour issues, and can also be detrimental to the fight against corruption and bribery.
- In principle, we have a considerable interest in fulfilling our responsibility as a financial services provider and helping to avoid such effects as part of our investment decisions. As things stand at present however, the implementation of the legal requirements stipulated for this is unreasonable due to the existing and impending bureaucratic framework conditions. Moreover, the main legal bases are still unclear.
- To minimise any legal exposure, we are currently prevented from making a public statement as to whether and how we take into account the adverse effects on sustainability factors (environmental concerns, etc.) in our investment decisions. We are therefore obliged to state on our website that we will not take these into account for the time being until further clarification.
- However, we expressly declare that this approach does not alter our willingness to make a contribution to sustainable, resource-efficient economic activity with the aim of reducing the risks and effects of climate change and other environmental and social defects in particular.
Copyright protection
The content and structure of the PT Asset Management GmbH website are protected by copyright. The reproduction of information or data, in particular the use of texts, parts of texts or images, requires the prior written consent of PT Asset Management GmbH.
Accuracy of information/data
No advice
The information provided on the website does not constitute personalised advice.
Conciliation body
The Verband unabhängiger Vermögensverwalter Deutschland e.V. (VuV) has set up a conciliation body in accordance with EU Directive No. 2013/11 of 21 May 2013 on Alternative Dispute Resolution. Disputes between consumers and members of the VuV in connection with financial services transactions can be settled before the VuV conciliation body in an out-of-court conciliation procedure.
PT Asset Management GmbH is a member of the VuV and is obliged to participate in conciliation proceedings before this conciliation body on the basis of the VuV’s statutes.
The address of the VuV conciliation body is:
VuV Ombudsman’s Office
Stresemannallee 30
60596 Frankfurt am Main
Further information on the conciliation body (e.g. further communication data, rules of procedure, application form) can be found at https://vuv-ombudsstelle.de
Implementation of the Second Shareholder Rights Directive (ARUG II) – "Participation policy"
According to the definition, PT Asset Management GmbH is an asset manager within the meaning of Section 134 a (1) no. 2 of the German Stock Corporation Act (AktG) and must therefore describe its participation policy within the meaning of Section 134 b AktG.
- The company does not exercise any shareholder rights within the meaning of Section 134 b (1) no. 1 AktG that are based on participation in the company. In particular, no rights relating to general meetings of stock corporations are exercised. The right to a share of profits within the meaning of Section 60 et seq. AktG and to subscription rights are exercised in consultation with clients.
- Important company matters within the meaning of Section 134 b (1) no. 2 AktG are monitored by taking note of the legally required reporting of companies in financial reports and ad hoc announcements.
- There is no exchange of opinions with the company’s executive bodies and stakeholders within the meaning of Section 134 b (1) no. 3 AktG.
- There is no co-operation with other shareholders within the meaning of Section 134 b (1) no. 4 AktG.
- In the event of conflicts of interest within the meaning of Section 134 b (1) no. 5 AktG, disclosure will be made to the parties concerned in accordance with the statutory provisions, and further action will be clarified with them.
- There is no annual publication on the implementation of the participation policy within the meaning of Section 134 b (2) AktG, as no corresponding rights are exercised.
- Voting behaviour within the meaning of Section 134 b (3) AktG is not published because there is no participation in voting.
Important general information
The information provided on this website is for your information purposes only. It does not constitute investment, tax or legal advice. Nor does it constitute an offer, a recommendation or an invitation to make investment decisions of any kind, e.g. to enter into transactions involving financial instruments (e.g. shares, bonds, investment funds, certificates) or to conclude contracts for financial services (e.g. asset management) or to conclude other contracts (e.g. family office contract). In particular, this information is no substitute for appropriate investor- and product-related advice. Unless expressly stated otherwise, all price information is non-binding.
With regard to information on investment funds, it should be noted that the sole basis for its acquisition is the respective valid sales prospectus, including the contractual terms and conditions and the respective last audited annual report and the semi-annual report, if such a report is more recent than the last annual report. These sales documents can be requested free of charge from the respective fund company or custodian bank, or can be downloaded from this website. PT Asset Management GmbH does not accept any liability for the accuracy and completeness of the information contained in these documents.
The same applies to other investment products with regard to the sales documents relevant to their distribution.
Please also note that the value of an investment can fall as well as rise. Investors must therefore be willing and able to accept losses of the capital invested. Past investment results are not indicative of future performance.
