Imprint

Imprint

Sunrise Securities GmbH
Gußhausstraße 3/2, 1040 Vienna

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Sunrise Securities GmbH is a Investment firm in accordance with Section 3 Securities Supervision Act 2018 (“WAG 2018”) and for the commercial provision of investment services and securities ancillary services of investment advice (§ 3 para. 2 Z 1 WAG 2018), portfolio management by managing portfolios on an individual client basis with a discretionary power of attorney from the client (§ 3 para. 2 Z 2 WAG 2018), the acceptance and transmission of orders (§ 3 para. 2 Z 3 WAG 2018), the execution of orders for account from customers (§ 3 para. 2 Z 6 WAG 2018) and the custody and administration of financial instruments for the account of customers, including Custody and related services such as cash management or collateral management and, with the exception of the management of top-level securities accounts (custody transaction; § 3 para. 2 Z 10 WAG 2018), these services include holding the client's money, securities or other instruments. These services may be provided with regard to the following financial instruments in accordance with Section 1 Z 7 WAG 2018: Transferable securities (lit. a), money market instruments (lit. b), fund shares (lit. c), financial derivatives (lit. d), credit derivatives (lit. h) and financial difference transactions (lit. i).

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Management
MMag. Thomas Niss, MBA
Elisabeth Brandstätter-Hammer, MBA

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Participation policy
Due to the broad diversification of funds managed by it among individual companies, Sunrise Securities GmbH has only a small position in relation to the total number of shares issued. Accordingly, Sunrise Securities GmbH is currently passive with regard to any participation rights within the meaning of Section 185 (1) Z 1 and 2 BörseG 2018.

In order to fulfill the obligations under Articles 3, 4 and 5 Disclosure Regulation and Delegated Regulation (Com) 2022/1288/EU, we provide you with the following information (as of October 2023):

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Strategies for dealing with sustainability risks (in companies)
The company does not currently recognize any potentially significant negative effects of sustainability risks on the activities provided (e.g. fund management) nor on the net assets, financial and earnings situation and reputation of the company. The company constantly monitors actual or potentially significant negative effects of sustainability risks on the investment services provided as well as on the net assets, financial and earnings situation and reputation of the company as part of its usual risk management strategy (risk management) and can react promptly to potential risks if necessary.

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Negative effects of investment decisions on sustainability factors are not taken into account
In its business activities, the company feels bound to general environmental, social and climate-friendly values, does not include the most important adverse effects of investment decisions on sustainability factors (as a financial market participant in portfolio management/fund management) in view of the nature and scope of its activities in the strict sense of the Disclosure Regulation, as the necessary financial products and financial instruments that comply with the provisions of the Disclosure Regulation regarding Fulfill the full content of information, is only available to a limited extent and it is therefore not possible for the company to provide the portfolio management/fund management service sustainably in accordance with the Disclosure Regulation.

Accordingly, with regard to the Sunrise Active Opportunities Fund and the Sunrise Dividends and Interest Fund, we say: The investments underlying the named financial products do not take into account the EU criteria for ecologically sustainable economic activities.

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Sustainability risks in remuneration policy
Notwithstanding the above information, sustainability is very important to us and sustainability factors, such as environmental, social and employee concerns, respect for human rights and the fight against corruption and bribery, are important to us. For example, the compensation policy of Sunrise Securities GmbH is in line with the inclusion of sustainability risks, as this does not contain any content that could have negative effects on sustainability factors.

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miscellaneous
Headquarters: Vienna
Jurisdiction: Vienna Commercial Court
Commercial register number: FN 410750w
UID number: ATU 68616777
Supervisory Authority: FMA Austrian Financial Market Authority, Otto-Wagner-Platz 5, 1090 Vienna
Complaints office: Ombudsman of the Financial Services Association, +43 5 90 900 5550, fdl.ombudsstelle@wko.at

Information purpose
Presentation of Sunrise Securities GmbH

Chamber membership
WKO Austrian Chamber of Commerce
Vienna Financial Services Association
Wiedner Hauptstraße 63, 1045 Vienna
Telephone: +43.5.90900.4818
email: finanzdienstleister@wko.at
www.diefinanzdienstleister .eu

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