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. In the same way, we are also actively working to comply with the due diligence obligations under the German Supply Chain Due Diligence Act with regard to human rights and environmental risks in our own business operations and at our suppliers.
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
- Occupational safety/health
- Sexual harassment and assault
- Misconduct
- Theft
- Tax offences (incl. US tax law due to QI requirements)
- Trade manipulation/insider trading offenses
- Antitrust/competition violations
- Balance sheet manipulation
- Human rights risk/violations
- Environmental risk/violations
- Violations committed by suppliers in the supply chain
- 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@hal-privatbank.com
Hauck Aufhäuser Niederlassung Luxemburg - BeschwerdenHAL@hal-privatbank.com
Hauck & Aufhäuser Fund Services S.A. (HAFS) - BeschwerdenHAFS@hal-privatbank.com
Hauck & Aufhäuser Alternative Investment Services S.A. - BeschwerdenHAAS@hal-privatbank.com
All reports submitted are completely confidential and you are not required to disclose your identity unless you specifically request it. However, as we seek open communication with customers, employees and third parties, we encourage you to disclose your name when making a report. In any case, we will treat your information as strictly confidential and take into account the interests of all parties worthy of protection to the extent permitted by law.
To support actions or investigations, we ask that you provide as much information as possible.
We take the handling of whistleblower reports very seriously, process every report submitted and initiate investigations where possible and necessary.
However, this system must not be abused to deliberately provide false or defamatory tips or information. Tips that are intended to denounce other persons or defame them against their better knowledge will not be tolerated and may be associated with personal or even civil/criminal consequences.
If you have any further questions about this service and how it works, please email euhalosupport@deloittece.com. This email address is for consultation on technical issues only. Actual reports should be submitted via the link provided above.