Contact and Regulatory Information & Complaints Handling

Contact and Regulatory Information

Aquantum GmbH
Josephspitalstrasse 15
80331 Munich
Germany

Phone: +49 89 383 7744 - 0
Email: contact@aquantumgroup.com
Website: www.aquantumgroup.com

Registered Office: Munich
Commercial Register: Amtsgericht Munich HRB 237024
VAT ID Number: DE281616196
Board of Managing Directors: Thomas P. Morrow, Carina Polzer, Christian Schneider

Supervisory Authority EU:
Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
Marie-Curie-Str. 24-28
60439 Frankfurt
Germany

Supervisory Authority US:
Aquantum GmbH is registered as a Commodity Trading Advisor (“CTA”) with the Commodity Futures Trading Commission (“CFTC”) and a member of the National Futures Association (“NFA”).

 

MiFID II top 5 annual report and evaluation of execution quality

 

Management of Complaints

Aquantum recognizes that from time to time regardless of how diligently it works to limit investor complaints, investor dissatisfaction may occur. As a result Aquantum has developed the following procedures to properly address any investor complaints filed against our firm and its activities:

  • Any investor correspondence, whether oral or written, received by telephone, mail or facsimile, in which the investor alleges misconduct by Aquantum or its representatives, should be considered a complaint.

  • The Compliance Officer will maintain a file that contains all written investor complaints, along with all correspondence with the investor. In addition, a separate file will be maintained for all oral investor complaints, reduced to writing by the appropriate manager, which includes feedback to the investor.

  • All investor complaints must be forwarded to the Compliance Officer on the same day they are received but in no event later than 24 hours from receipt.

  • All complaints will be handled directly by an Aquantum supervisor or the firm’s general counsel, and memorialized in writing. Final responsibility for complaints handling remains with the board of managing directors.

  • Aquantum’s investor complaint files should be maintained and separately filed by each Associated Person or employee named in the complaint. This procedure will allow for an expeditious discovery of any employee who has received multiple complaints as well as to identify potential similarities and patterns of the complaints.

  • Generally, all investor complaints should be addressed as quickly as possible.

  • Complaints, whether written or oral, should be addressed within five business days from receipt.

  • Independently of this, as a client of a company that is supervised by BaFin, you can contact BaFin directly. Further details can be found at www.bafin.de.

 

Passive Strategies

Responsible for the content in the "Aquantum Passive Strategies" section:
Aquantum S.à r.l.
6 Rue Eugène Ruppert
L-2453 Luxembourg
Luxembourg

 

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