Whistleblower system
Hauck Aufhäuser Lampe wants to " collectively set an example". 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 also work actively to comply with the Act on Corporate Due Diligence Obligations in Supply Chains (Supply Chain Act) with regard to human rights and environmental risks in our own business activities and at our suppliers.
Any information about possible violations of legal prohibitions or breaches of human rights and environmental obligations in connection with HAL's business activities or those of our business partners can be reported via our whistleblower system.
The rules of procedure for processing concerns under the Supply Chain Act can be accessed and downloaded via the button below.
Hauck Aufhäuser Lampe Privatbank AG @WARD is an independent whistleblower system of the HAL Group in their overall valid institute structure. @Ward was implemented by us to address illegal and unethical business practices. Hauck Aufhäuser Lampe AG 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
- Safety/Health
- 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.
Any information on human rights and environmental risks or violations in connection with HAL’s business activities or those of our business partners can be also reported 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 / BeschwerdenHAL@hal-privatbank.com
- Hauck Aufhäuser Niederlassung Luxemburg - BeschwerdenHANL@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
If you would like to submit a complaint in connection with Krypto-Assets, please contact one of the following mailboxes:
- Hauck & Aufhäuser Digital Custody GmbH (HADC) - HADC-DigitalCustody-MGMT@hal-privatbank.com
- Hauck & Aufhäuser Innovative Capital GmbH (HAIC) - HAIC-Beschwerde@hal-privatbank.com
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