Hauck & Aufhäuser delivers depository services for special investment funds in Germany and Luxembourg. We are the correspondent of choice for initiators and capital investment companies. We currently manage mutual and special investment funds (UCITS and AIFs).

  • Special focus on early fulfillment of regulatory requirements
  • Quality assurance through calculation of the net asset value with model 2

Our services as depository for special securities funds

  • Daily custodian bank controls pursuant to the requirements of the Luxembourg Investment Fund Act and the German Capital Investment Code
  • Parallel calculation and control/approval of net asset value
  • Asset controls for monetary accounts, securities portfolios, futures and options, forward exchange transactions, and verification of the number of issued shares
  • Ex-post control of compliance with statutory and contractually-mandated investment limits (in our proprietary system, in accordance with model 2)
  • Daily depository reconciliation

Duties and activities as depository

  • Safekeeping of classic financial instruments, precious metals, and bank balances
  • Entry and management of securities master data
  • Performance of all capital measures
  • Calculation and transfer of portfolio fees for funds of funds
  • Application of double tax avoidance agreements
  • Participation in class actions
  • Production of custodian bank reports
  • Settlement of dividend payments, mergers, amendments to pitch books
  • Calculation and reclaiming of withholding taxes

We also offer

  • Parallel evaluations for capital investment partners
  • Issuing and repurchase of fund certificates
  • Order execution via our Order & Execution Desk
  • Currency hedging
  • Liquidity investment
  • Trading and settlement of internationally aligned financial/securities transactions
  • Services as paying agent
  • Verification of proof of ownership
  • Regular controls of valuations in accordance with pitch books
  • Daily monitoring of cash flows
  • Control of contractually stipulated appropriation of earnings

Contact

Portrait Anja Schlick Leiterin Financial Assets Deutschland
Anja Schlick
Head of Financial Assets Germany
+49 (0)89 2393-2165
anja.schlick@hauck-aufhaeuser.com
Xing
Portrait Marc Kriegsmann Niederlassungsleiter Luxemburg
Marc Kriegsmann
Subsidiary Manager Luxembourg
+352 45 13 14 440
marc.kriegsmann@hauck-aufhaeuser.com
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