Whistleblower system

Whistleblower system

The Hauck Aufhäuser Lampe wants to "set an example collectively". This means acting in a way that points the way forward. We actively support national and international efforts to combat bribery, corruption, money laundering and the financing of terrorist and other criminal activities.

Hauck Aufhäuser Lampe Privatbank AG @WARD is an independent whistleblower system implemented by us to address illegal and unethical business practices. Hauck Aufhäuser does not tolerate bribery and other forms of corruption of its employees and its business partners, whether in the form of accepting or granting unfair advantages.

No form of discrimination, harassment, threats or abusive behavior in the workplace will be tolerated in the Hauck Aufhäuser Lampe.

We are particularly dependent on your assistance in preventing and prosecuting such misconduct. In a large number of cases, tips from employees, customers or third parties have led to the discovery and prosecution of corresponding misconduct.

Hauck Aufhäuser Lampe Privatbank AG @WARD was developed to record information regarding the following topics, which are related to the business activities of the Hauck Aufhäuser Lampe:

•    Bullying
•    Bribery/Corruption
•    Infidelity/embezzlement
•    Violations of guidelines/regulations
•    Conflicts of interest
•    Discrimination
•    Fraud
•    Money laundering/terrorist financing
•    Embargo/sanctions violations
•    Health/Safety/Environment
•    Sexual harassment and assault
•    Misconduct
•    Theft
•    Tax offenses
•    Trade manipulation/insider trading offenses
•    Antitrust/competition violations
•    Balance sheet manipulation
•    Other significant violations

If you want to report a violation, this can be done here.

If you would like to submit a complaint in connection with an investment service or an ancillary investment service as defined in section 67 (1) of the Wertpapierhandelsgesetz (WpHG), please contact the relevant mailbox:
Hauck Aufhäuser Lampe Deutschland - Beschwerden@hauck-aufhaeuser.com
Hauck Aufhäuser Niederlassung Luxemburg - BeschwerdenHAL@hauck-aufhaeuser.com
Hauck & Aufhäuser Fund Services S.A. (HAFS) - BeschwerdenHAFS@hauck-aufhaeuser.com
Hauck & Aufhäuser Alternative Investment Services S.A. - BeschwerdenHAAS@hauck-aufhaeuser.com 

Whisteblower system