FINANCIAL ADVISOR

Germany is a core market in the European Union for WINBRIDGE. We have had a branch in Munich since 2017 and have been expanding our business continuously ever since in order to make our successful service available to German investors. In accordance with Section 32 of the German Banking Act (KWG), the company is authorised to provide financial services by the German Federal Financial Supervisory Authority and is under its supervision.

We have developed a comprehensive and eminently practical programme for our financial advisors. We contribute to our partners’ success by consistently combining complex knowledge and practical support with acquiring and advising clients. The transparent approach we practice and our continuous updates mean that as our partner, you always get the best advice. And you can be sure that you are offering solutions that will stand the test of time.

MAXIMUM VALUE FOR OUR FINANCIAL ADVISORS

THE MARKET

The current low interest rate environment and the demand for market-neutral solutions are causing more and more investors to rethink their chosen allocations with regard to alternative investment strategies or pay increasing attention to them. This change in market activity also poses a challenge for financial advisors. A client is only satisfied in the long term with a sustainable, outstanding, risk-adjusted performance.

Why not take this opportunity to participate in one of the most profitable and high-potential markets! In our experience, your clients will be extremely satisfied and will appreciate your competence and advisory service.

LEGAL REQUIREMENTS

BROKERING MANAGED ACCOUNTS

As managed accounts count as asset management, WINBRIDGE Asset Management GmbH makes the investment decisions and executes the transactions. This means that the advisor or broker is not recommending or brokering financial instruments; merely the conclusion of an asset management agreement. According to the guidance notice on the brokerage of investments published by the German Federal Financial Supervisory Authority on 13 July 2017, asset management contracts may be brokered without a licence to provide financial services pursuant to Section 32 of the German Banking Act (KWG). As Section 34f para. 1 of the German Trade, Commerce and Industry Regulation Act (GewO) explicitly refers to Section 1 para. 1a sentence 2 no. 1 and 1a KWG, it is also not necessary to be licensed under that regulation in order to broker an asset management contract.

In short: no licence required under the German Banking Act (KWG) and no liability umbrella.

BROKERAGE OF THE WINBRIDGE FUND

Anyone who provides investment advice and brokers investments in connection with open-end investment funds (Retail AIF or UCITS) and wishes to work with WINBRIDGE Asset Management GmbH must demonstrate that they possess the necessary licence for brokers of financial investments (Section 34f para. 1 sentence 1 no. 1 GewO); the same applies to anyone who acts as a commercial adviser on financial investments in return for a fee (Section 34h GewO).

Any questions?

We would be happy to provide you with detailed information.
Please contact us!

Daniel Frei, Managing Director
+49 (0)89 72 66 99 5-0
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