* Investmentfonds ** Geschlossene Fonds (KG-Form) *** Sonstige Vermögensanlagen (Genossenschaftsanteile, Genussrechte, etc.)

Transkript

1 KUNDENERSTINFORMATION STAND _1a (Original verbleibt beim Vermittler/Berater) Firma Vermittler/Berater Telefon Telefa Funktion Der Finanzanlagenvermittler/berater hat eine Erlaubnis nach 34 f Absatz 1 Satz 1 Nr. 1* Nr. 2** Nr. 3*** der Gewerbeordnung und ist mit der Registrierungsnummer bei der für die Erlaubnis nach 34 f Absatz 1 der Gewerbeordnung zuständigen, folgenden Behörde inklusive vollständiger Adresse eingetragen: * Investmentfonds ** Geschlossene Fonds (KG-Form) *** Sonstige Vermögensanlagen (Genossenschaftsanteile, Genussrechte, etc.) Registerstelle des Vermittler-Registers: Deutscher Industrie- und Handelskammertag e.v., Breite Straße 29, Berlin Auskunft über Tel oder Ombudsstelle des BVI, Bundesverband Investment und Asset Management e.v.: Unter den Linden 42, Berlin Telefon: , info@ombudsstelle-investmentfonds.de, Ombudsstelle Geschlossene Fonds e.v.: Postfach , Berlin, Telefon: , info@ombudsstelle-gfonds.de Die von uns angebotenen Emittenten/Versicherungsgesellschaften und Anbieter finden Sie in der Anlage der Kundeninformation. Die Information wurde ausgehändigt an: Name, Vorname 1. Depotinhaber (Kunde/n)/ 1. gesetzlicher Vertreter/1. Geschäftsführer Name, Vorname 2. Depotinhaber (Kunde/n)/2. gesetzlicher Vertreter/2. Geschäftsführer Ihr Berater wird für seine Anlageberatung und -vermittlung seitens der Depotbanken und Investmentgesellschaften vergütet. Im Rahmen dieser Erstinformation stimmen Sie zu, dass Ihr Berater die Vergütungen und Zuwendungen (inkl. Sach- und Dienstleistungen) seitens Dritter vereinnahmen darf. Freitetfeld für weitere Bemerkungen: Ort, Datum Unterschrift des 1. Kunden Unterschrift des 2. Kunden Ort, Datum Unterschrift Vermittler/Berater

2 KUNDENERSTINFORMATION (Original bitte nicht mit evtl. Anträgen mitschicken) STAND _1e Firma Vermittler/Berater Telefon Telefa Funktion Der Darlehens-/Immobilienvermittler hat eine Erlaubnis nach 34 c Absatz 1 Satz 1: Immobilienvermittler Satz 2: Darlehensvermittler der Gewerbeordnung und ist bei der für die Erlaubnis nach 34 c der Gewerbeordnung zuständigen, folgenden Behörde inklusive vollständiger Adresse eingetragen: Die Information wurde ausgehändigt an: Name, Vorname 1. Versicherungsnehmer (Kunde/n)/ 1. gesetzlicher Vertreter/1. Geschäftsführer Name, Vorname 2. Versicherungsnehmer (Kunde/n)/2. gesetzlicher Vertreter/2. Geschäftsführer Freitetfeld für weitere Bemerkungen: Ort, Datum Unterschrift des 1. Kunden Unterschrift des 2. Kunden Ort, Datum Unterschrift Vermittler/Berater

3 Investmentfonds Aachener Grundvermögen Kapitalverwaltungsgesellschaft Aberdeen Asset Management Deutschland AG Aberdeen Global Aberdeen Global Services Abrias Absolute Insight Funds p.l.c. ACOLIN Fund Management Ahead Wealth Solutions AG Alceda Fund Management ALGER SICAV Alken Luembourg AllianceBernstein (Luembourg) Allianz Global Investors Europe G Allianz Global Investors G Allianz Global Investors Ireland Ltd. Allianz Global Investors Luembourg Allianz Invest Kapitalanlagegesellschaft ALTE LEIPZIGER Trust Investment-Gesellschaft Ampega Investment G Amundi Amundi Investment Solutions Amundi Luembourg Aspect UCITS Funds plc Assenagon Asset Management Atlantis Investment Management (Ireland) AVANA Investmentaktiengesellschaft mit Teilgesellschaftsvermögen Aviva Funds Services Aviva Investors Luembourg AXA Funds Management AXA Investment Managers Deutschland G AXA Investment Managers Paris AXA Investment Managers UK AXA Rosenberg Equity Alpha Trust AXXION Balfidor Fondsleitung AG Baloise Fund Invest (Lu) Bank Austria Real Invest Immobilien-Kapitalanlage G Bankhaus Schelhammer & Schattera Kapitalanlageges. Banque et Caisse depargne de letat, Luembourg Bantleon Invest Barclays Investment Funds (Luembourg) SICAV Baring Fund Managers Baring International Fund Managers (Ireland) BAWAG P.S.K. INVEST G BayernInvest Kapitalanlagegesellschaft BayernInvest Kapitalverwaltungsgesellschaft BayernInvest Luembourg Berenberg Lu Invest bfw fondsleitung ag BI SICAV (BankInvest) BlackRock Asset Management Deutschland AG BlackRock Asset Management Ireland BlackRock Fund Management Company (Ireland) BlackRock Investment Management (Dublin) BlackRock (Luembourg) BlackRock (Singapore) BLI - Banque de Luembourg Investments BLUE DANUBE FUND SICAV BlueBay Funds Management Company BlueOrchard Asset Management (Luembourg) BNP Paribas Asset Management SAS BNP Paribas Global Liquidity Funds plc BNP Paribas Investment Partners Luembourg BNP Paribas Real Estate Investment Management Germany G BNY Mellon Fund Management (Luembourg) BNY Mellon Fund Services (Ireland) BNY Mellon Global Management BNY Mellon Investment Funds ICVC BNY Mellon Service Kapitalanlage-Gesellschaft BRANDES INVESTMENT FUNDS PLC Brown Advisory Funds plc CAIAC Fund Management AG Calamos Global Funds plc CALLANDER MANAGERS Candriam Belgium Candriam France Candriam Luembourg Capita Financial Managers (Ireland) Capital International Management Company Sàrl CAPITALatWORK FOYER UMBRELLA CARMIGNAC GESTION CARMIGNAC GESTION LUXEMBOURG Carne Global Fund Managers (Ireland) Carnegie Fund Management Company Caso Asset Management Castell Concept SICAV Catella Real Estate AG CAZENOVE INTERNATIONAL FUND PLC CBL Asset Management IPAS Celsius Funds II plc Celsius Funds plc Celsius Global Funds SICAV plc Celsius Investment Funds SICAV China Southern Dragon Dynamic Fund Citadele Asset Management IPAS Clariden Leu Fund Management (Luembourg) CM Investment Solutions CM-CIC Asset Management CMI Asset Management (Luembourg) Coeli Asset Management Comgest Comgest Asset Management International Comgest Commerz Funds Solutions Commerz Real Investmentgesellschaft Concept Fund Solutions plc Concord Group International Funds p.l.c., The Conventum Asset Management Convictions AM C&P Funds SICAV CPR Asset Management C-QUADRAT Kapitalanlage AG Credit Suisse Fund Management Credit Suisse Funds AG Credit Suisse Funds (Liechtenstein) AG Credit Suisse Microfinance Fund Management Company Crown Alternative UCITS plc Crystal Fund Management AG Custom Markets plc Danske Invest Management Company DAVIS FUNDS SICAV DB Platinum DB Platinum III DB Platinum IV DB Platinum V db -trackers db -trackers II Degroof Gestion Institutionnelle - Luembourg Deka Immobilien Investment G Deka International Deka Investment G DELTA LLOYD L Deutsche Asset & Wealth Management Investment G Deutsche Global Liquidity Series p.l.c. Dimensional Fund Advisors Ltd. Dimensional Funds II plc Dimensional Funds plc DJE Investment DNB Asset Management DNCA Finance DNCA Finance Luembourg Dodge & Co Worldwide Funds plc DWS Investment East Capital Asset Management AB East Capital (Lu) Eastspring Investments (Luembourg) EasyETF (FR) EasyETF (LU) Eaton Vance Advisers (Ireland) ECM Credit Fund SICAV Edgewood L Select Edmond de Rothschild Asset Management (France) Edmond de Rothschild Asset Management (Luembourg) Edmond de Rothschild Fund SICAV E.I. Sturdza Funds plc EII Real Estate Securities Advisors Ennismore Fund Management Ltd Enovara plc ERSTE Immobilien Kapitalanlagegesellschaft m.b.h. ERSTE-SPARINVEST Kapitalanlagegesellschaft m.b.h. Estlander & Partners Umbrella Fund Ltd. ETHENEA Independent Investors EUROCASH-FUND SICAV EUROPEAN SICAV ALLIANCE Falcon Fund Management (Luembourg) F&C Alternative Strategies F&C Management F&C Property Growth & Income Fund FCM Funds PLC Federated International Funds plc c/o BNY Mellon Fund Services (Ireland) Federated International Management Fenja Fund Multi Strategy Feri Trust (Luembourg) Fidelity Investment Funds

4 FIL Investment Management G FIL Investment Management (Luembourg) Finaltis FINANCIERE DE L ECHIQUIER Finter Fund Management Company First Private Investment Management KAG First State Investments ICVC FISCH FUND SERVICES AG Flaskamp Invest FLEXIFUND SICAV Flossbach von Storch Invest FRANKFURT-TRUST Invest Luemburg AG FRANKFURT-TRUST Investment-Gesellschaft Franklin Templeton International Services Fred Alger Management, Inc. FTC FUTURES FUND SICAV FundLogic Alternatives p.l.c. FundLogic Global Solutions p.l.c. FundLogic SAS FundLogic Structured Products SICAV FundPartner Solutions (Europe) GAM Star Fund p.l.c. GAMAX Management AG Generali Fund Management Generali Investments Deutschland Kapitalanlagegesellschaft Generali Investments Europe S.p.A. GLG Partners Asset Management Global Fund Selection SICAV GO ETF Management Goldman Sachs Asset Management Global Services Goldman Sachs Funds GreenEffects Investment plc. GS&P Kapitalanlagegesellschaft S. A. Gutmann Kapitalanlageaktiengesellschaft Gutzwiller Fonds Management AG Hamon Ireland HANSAINVEST HANSAINVEST LUX Hauck & Aufhäuser Investmentgesellschaft Helaba Invest Kapitalanlagegesellschaft Henderson Fund Management (Luembourg) Henderson Gartmore Fund Henderson Investment Funds Heptagon Fund plc HollisWealth HPS FUND HSBC ETFs PLC HSBC Global Asset Management (France) HSBC Global Investment Funds SICAV HSBC Global Liquidity Funds plc HSBC Investment Funds (Luembourg) HSBC Trinkaus Investment Managers HSBC UCITS AdvantEdge plc HSH Invest Humboldt Multi Invest C SICAV IAFA IFAG Institutionelle Fondsleitung AG IFM Independent Fund Management AG IFOS Internationale Fonds Service AG Ignis Funds SICAV Ignis Global Funds SICAV Ignis International Funds plc Immo Kapitalanlage AG ING Fund Management B.V. ING Investment Management Luembourg INKA Internationale Kapitalanlagegesellschaft InRIS UCITS plc Insight Global Funds II p.l.c. International Fund Management INTER-PORTFOLIO Verwaltungsgesellschaft Invesco Asset Management Invesco Global Asset Management Invesco Management Invesco PowerShares Capital Management Ireland Investec Asset Management Investec Funds IPConcept (Luemburg) ishares Public Company ishares Trust ishares V Public Company IT Funds SICAV IVI UMBRELLA FUND PLC J O Hambro Capital Management UK Umbrella Fund J O Hambro Capital Management Umbrella Fund plc J. Safra Sarasin Fund Management (Luembourg) J. Safra Sarasin Investmentfonds AG JABCAP (LUX) Janus Capital Funds PLC J.Chahine Capital Jefferies Umbrella Fund JF Funds J.P. Morgan Asset Management J.P. Morgan Structured Fund Management JULIUS MEINL Investment G Jupiter Global Fund, The Jupiter Unit Trust Managers Jyske Invest Fund Management A/S KAMES CAPITAL Kames Capital Investment Company (Ireland) Plc KanAm Grund Kapitalverwaltungsgesellschaft KAS Investment Servicing G KBC - ACCESS FUND SICAV KBC Asset Management NV KBC Asset Management KBC Equity Fund KBC Renta KBM-INFOND KEPLER-FONDS Kapitalanlagegesellschaft Kinetic Partners (Luembourg) Management Company S.á r.l. Kleinwort Benson Investors Dublin Kredietrust Luembourg LA FRANCAISE AM INTERNATIONAL Laffitte Capital Management SAS Lantern Structured Asset Management Lazard Asset Management (Deutschland) G Lazard Fund Managers (Ireland) LBB-INVEST LBBW Asset Management Investmentgesellschaft LB(Swiss) Investment AG Legg Mason Global Funds PLC Legg Mason Global Solutions plc Legg Mason Institutional Funds plc Legg Mason Investments (Luembourg) Lemanik Asset Management LGT Capital Partners (FL) AG LGT Fondsleitung AG LGT Fund Management (Lu) Living Planet Fund Management Company LKB Epert Fondsleitung AG LLB Fondsleitung AG LLB Fund Services Aktiengesellschaft Lloyd George Investment Company plc Lombard Odier Asset Management (Switzerland) SA Lombard Odier Funds Long Term Investment Fund (SIA) Löwenfonds AG LRI Invest Lupus alpha Investment Lupus alpha Kapitalanlagegesellschaft Lucellence Management Company Lyor Asset Management Luembourg Lyor International Asset Management Lyor Newcits IRL plc Macquarie Collective Funds plc Magna Umbrella Fund plc MainFirst SICAV Man AHL Diversified plc Man GLG Multi-Strategy Fund SICAV Man Investments (Luembourg) Man Investments Netherlands B.V. Man RMF Investments SICAV Mandarine Gestion SA Market Vectors ETF Trust Marshall Wace UCITS Funds PLC Martin Currie Global Funds SICAV MASTERINVEST Kapitalanlage G Matthews Asia Funds MDO Management Company MEAG Luembourg S.à r.l. MEAG MUNICH ERGO Kapitalanlagegesellschaft MEDIOLANUM INTERNATIONAL FUNDS LIMITED Melchior Investment Funds Melchior Selected Trust Mercurion Asia Fund Meriten Investment Management G Merrill Lynch Invest SAS Merrill Lynch Investment Solutions Métropole Gestion METROPOLE Gestion International SICAV Metzler Investment G Metzler Ireland MFS MERIDIAN FUNDS, SICAV M&G Investment Funds M&G Securities Mi-Fonds (Lu) Minerva Investments AG Mirabaud Asset Management (Europe) MK Luinvest Monega Kapitalanlagegesellschaft Montanaro European Smaller Companies plc MontLake UCITS Platform plc Morgan Stanley Investment Funds Morgan Stanley Investment Management (ACD) Morgan Stanley Real Estate Investment G MultiConcept Fund Management MUNICH INVEST Muzinich & Co. (Ireland) Natiis Asset Management Natiis Global Associates Natiis International Funds (Dublin) I plc Neptune Investment Management NESTOR Investment Management Neuberger Berman Investment Funds plc New Capital Fund Management NGAM

5 NN Investment Partners B.V. NN Investment Partners Luembourg Nomura Asset Management Deutschland KAG Nomura Funds Ireland plc Noramco Asset Management Nordea Investment Funds NORD/LB Asset Management AG Northern Trust Luembourg Management Company OAKS Emerging Umbrella Fund plc Oddo Asset Management Odey Investment Funds plc Odey Investments plc OFI ASSET MANAGEMENT ÖkoWorld Lu Old Mutual Dublin Funds plc Old Mutual Global Investors Series plc Oppenheim Asset Management Services S.à r.l. Oppenheim KAG Optinova Investmentaktiengesellschaft mit TGV Orsay Asset Management SNC Oyster Asset Management Paladin Asset Management InvAG m.v.k TGV Pareto Forvaltning AS Partners Group Global Value SICAV Performa Fund SICAV PETERCAM INSTITUTIONAL ASSET MANAGEMENT (Luemburg) PETERCAM (LUXEMBOURG) Petercam Management Services Pictet Funds (Europe) Pictet Funds PIMCO Funds: Global Investors Series plc PIMCO Global Advisors (Ireland) PineBridge Investments Ireland Pioneer Asset Management Pioneer Investments Austria G Pioneer Investments Kapitalanlagegesellschaft PMG Fonds Management AG Polar Capital Funds plc Portfolio Selection SICAV Principal Global Investors Funds Putnam Investments PXP Vietnam Emerging Equity Fund Quint:Essence Capital Raiffeisen Immobilien Kapitalanlage-Gesellschaft m.b.h. Raiffeisen Kapitalanlage-Gesellschaft Raiffeisen Salzburg Invest Kapitalanlage G RAM Active Investments RBS Asset Management (Dublin) RBS (Luembourg) Renaissance Asset Managers (Luembourg) Renasset Select Funds plc RFS GESTION RH&PARTNER Investment Funds RINGTURM Kapitalanlagegesellschaft Robeco Robeco Luembourg Rothschild & Cie Gestion Rouvier Associés RREEF Investment G Russell Investments Ireland RWC Funds Santander Asset Management Luembourg Sarasin Fund Management (Luembourg) Sarasin Investmentfonds AG Schoellerbank Invest AG Schroder Investment Management (Luembourg) Schroder Investment Management (Switzerland) AG Schroder Unit Trusts Schweizerische Gesellschaft für Kapitalanlagen SGK SEB Asset Management SEB Fund Services SEB Investment G Security Kapitalanlage Aktiengesellschaft Seilern Investment Management (Ireland) Ltd. Semper Constantia Immo Invest G Semper Constantia Invest G SG/Russell Asset Management SGSS Deutschland Kapitalanlagegesellschaft SIA FUNDS AG Siemens Fonds Invest G SIRIUS FUND SKY Harbor Global Funds Société de Gestion Prévoir Société Générale Gestion Source Investment Management Spängler IQAM Invest G Sparinvest SICAV Sparkasse Oberösterreich Kapitalanlagegesellschaft m.b.h. SPDR Europe PLC SSgA SPDR ETFs Europe I plc SSgA SPDR ETFs Europe II plc St. Vincent Trust Service Standard Life Investments Global SICAV Standard Life Investments (Mutual Funds) Standard Master Funds plc StarCapital State Street Fondsleitung AG State Street Global Advisors State Street Global Advisors France State Street Global Advisors Luembourg Management Sàrl Storm Fund Structured Invest SUPERFUND SICAV Swiss & Global Asset Management AG Swiss & Global Asset Management (Luembourg) Swiss Alpha SICAV Swiss Life Asset Management (France) Swiss Life Funds AG Swiss Life Funds (LUX) Management Company Swisscanto Asset Management AG SWISSCANTO ASSET MANAGEMENT INTERNATIONAL Sycomore Asset Management, SA Sydinvest Administration A/S Syquant Capital T. Rowe Price Funds SICAV TDO Management Company Tendercapital Funds plc Thames River Traditional Multi Funds plc THEAM TheFund AG Threadneedle Investments Threadneedle Management Luembourg Timberland SICAV Tirolinvest Kapitalanlagegesellschaft TMW Pramerica Property Investment G Tocqueville Finance Torrus Funds SICAV Traditional Funds plc Triodos SICAV I TT International Funds PLC TÜRKISFUND SICAV Turner Funds plc Tweedy, Browne Value Funds UBAM CONVERTIBLES SICAV UBS Fund Management (Luembourg) UBS Fund Management (Switzerland) AG UBS Global Asset Management (Deutschland) G UBS (Irl) ETF plc UBS (Irl) Investor Selection PLC UBS Real Estate Kapitalanlagegesellschaft UBS Third Party Management Company Union Bancaire Gestion Institutionnelle (France) Union Bancaire Privée (Luembourg) Union Investment Luembourg Union Investment Privatfonds G Union Investment Real Estate AG Union Investment Real Estate G United States Oil Fund LP Universal-Investment G Universal-Investment-Luembourg UTI Indian Fied Income Fund plc Valartis Asset Management (Austria) Kapitalanlagegesellschaft m.b.h. ValueInvest Asset Management Vanguard Group (Ireland) Vanguard Investment Series plc Vector Asset Management Veritas Investment G Vietnam Emerging Equity Fund VITRUVIUS Volksbank Invest Kapitalanlagegesellschaft m.b.h. von der Heydt Invest SA Vontobel Fonds Services AG Vontobel Management VPB Finance Wallberg Invest Walser Privatbank Invest Wanger Investment Company Plc, The WARBURG INVEST KAPITALANLAGEGESELLSCHAFT MBH WARBURG INVEST LUXEMBOURG Waverton Investment Funds plc Wellington Management Portfolios (Dublin) p.l.c. WestInvest Gesellschaft für Investmentfonds WestLB Mellon Asset Management (Luembourg) World Gold Trust Services LLC W&W Asset Management Dublin WWK Investment 3 Banken-Generali Investment-Gesellschaft

6 Banken/Plattformen ADIG Fondsvertrieb G (EBASE) Augsburger Aktienbank bank zweiplus ag BHW Bausparkasse AG Capitalbank Comdirect Cominvest Cortal Consors - BNP Paribas Niederlassung Deutschland DAB Bank AG DWS Fondsplattform Luemburg ebase FFB Fondsdepotbank ING-DiBa AG Allgemeine Deutsche Direktbank AG Investmentgate G & Co.KG Metzler Fund Xchange Moventum S.C.A. Sutorbank Universal-Investment G (EBASE) V-Bank AG von der Heydt Invest SA WARBURG INVEST KAPITALANLAGEGESELLSCHAFT MBH Wüstenrot Direktion Keyaccount Geschlossene Fonds Aquila Capital Advisors cai Vertriebsgesellschaft Energy Capital invest Fußball Kontor publity Investor Solvium Capital G ThomasLloyd