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Sunrise Securities GmbH
Gußhausstraße 3/2
1040 Vienna
Austria
Email: office@sunrisesecurities.com
Company register: FN 410750w
Company register court: HandelsgerichtWien (Vienna Commercial Court)
VAT-number: ATU68616777
Member of Austrian Chamber ofCommerce, Association of Financial Service Providers Vienna
Management
MMag. Thomas Niss, MBA
Elisabeth Brandstätter-Hammer, MBA
Purpose of the company
Authorizedto commercially provide the investment services and ancillary investmentservices of investment advice (Section 3(2)(1) WAG 2018), portfolio managementby managing portfolios on an individual client basis with a discretionary powerof attorney from the client (Section 3(2)(2) WAG 2018), acceptance andtransmission of orders (Section 3(2)(3) WAG 2018), execution of orders for theaccount of clients (Section 3(2)(6) WAG2018), safekeeping and administration of financial instruments for the accountof clients including safekeeping and related services such as cash managementor collateral management and with the exception of the management of securitiesaccounts at the top level (custody business; Section 3(2)(10) WAG 2018).
Thisincludes the holding of money, securities or other instruments of the customer.
Pursuantto Section 1(7) WAG 2018, the following may be provided Transferable securities(a), money market instruments (b), fund units (c), financial derivatives (d),credit derivatives (h) and financial contracts for difference (i).
Engagement Policy
Due to the broad diversification of the funds managed by Sunrise SecuritiesGmbH, the company holds only small positions in individual issuers relative tothe total number of shares outstanding. Accordingly, Sunrise Securities GmbHcurrently adopts a passive approach with regard to any shareholder engagementrights within the meaning of Section 185 (1) items 1 and 2 of the AustrianStock Exchange Act 2018 (BörseG 2018).
Regulatoryauthority
Finanzmarktaufsicht
Otto-Wagner Platz
1090 Wien
Austria
www.fma.gv.at
Professional law
Trade regulation, Securities law, Moneylaundering law, www.ris.bka.gv.at
Complaints department:
Complaints Office of the AustrianFinancial Market Authority (FMA)
Otto Wagner Platz 5
1090 Vienna
Austria
Phone: +43 1 249 590
Ombudsman of the Association ofFinancial Service Providers
Phone: +43 5 90 900 5550
Email: fdl.ombudsstelle@wko.at
Complaint options
If you have any reason to complain about us, our employees as well as other persons associated with us or any other complaints regarding the services or products offered, you can contact us by mail, telephone or email.
Find more information here: Beschwerdeverfahren
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