Regulatory
Registration in the European Union
substnz Capital Partners GmbH is an investment firm with the registry number 157452 and has BaFin approval in accordance with the Securities Institutions Act ('WpIG') for:
- Investment advice (§ 2 Abs. 2 Nr. 4 WpIG)
- Investment brokerage (§ 2 Abs. 2 Nr. 3 WpIG)
Financial Regulator
BaFin – Bundesanstalt für Finanzdienstleistungsaufsicht
Marie-Curie-Str. 24-28
60439 Frankfurt am Main
Phone: +49 228 4108 0
Fax: +49 228 4108 123
E-Mail: poststelle@bafin.de
Internet: www.bafin.de
Complaints Management
The satisfaction of our existing and prospective customers is our top priority. However, should you ever have any cause for dissatisfaction, please contact our complaint management function:
Hubertus Bäumer
Ballindamm 27
20095 Hamburg
Phone: +49 156 7951 2700
Email: compliance@substnz-re.com
Submitting your complaint is free of charge and can be done in writing or orally.
The underlying facts and your contact details (e.g. address, telephone number and e-mail address) are required to process your complaint.
The receipt of your complaint will be confirmed immediately in writing and you will be informed of further measures.
We have set ourselves the goal of finally processing your complaint within 15 working days of receiving it. If we do not succeed in this, you will be informed in writing of this fact, stating the current status, the expected duration and the reasons for the delayed processing.
After the processing of your complaint has been completed, you will receive a written and reasoned statement in which we will inform you of the result of our examination.
Appropriate handling of your personal data is guaranteed. You can find details on this in our privacy policy.
Disclosure Regulation
Due to Article 3 of Regulation (EU) 2019/2088 (Disclosure Regulation), substnz Capital Partners GmbH is obliged to publish information on its strategies for the inclusion of sustainability risks in its investment advisory activities. As an investment firm, it is essential for us to fulfill our responsibility and to avoid negative impacts on the environment (e.g. climate, water, biodiversity), on social - and employee concerns in the context of our investment recommendations. Nevertheless, we do not intend to promote environmental, social and governance criteria (ESG) in our investment strategies or for other specific financial instruments. According to the current state of affairs, the implementation of the legal requirements specified for this purpose is not reasonable due to the existing and still evolving bureaucratic framework. Significant legal issues have not yet been clarified. In order to avoid legal disadvantages, substnz Capital Partners GmbH is therefore currently prevented from publicly explaining how sustainability factors are taken into account in the investment recommendations. For this reason, we are required to state on our website for the time being that sustainability criteria are not taken into account. This point will be reviewed at regular intervals.