Supervision/Membership

Membership of the Schwabia Kapitalforum Schwaben/Allgäu
Medical Strategy has been a member of the Kapitalforum Schwaben/Allgäu e.V. since mid-2017. The purpose of the association is to promote education in the financial sector. It aims to provide citizens and students with answers to questions about cash and assets in today’s “new financial world”, thereby increasing the level of education. The association wants to raise awareness of the special profession of the bank-independent asset manager approved by the Federal German Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht/BaFin).

Supervision
Medical Strategy has been authorized to manage financial portfolios by the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht/  BaFin ID: 112465) since 1998. In 2006/2007, the authorization was extended to include investment advice, investment and contract brokerage as well as proprietary business. The areas currently being actively pursued are financial portfolio management as an external fund manager and investment advice as an external fund advisor. Further information at www.bafin.de

Memberships German Association of Independent Asset Management Companies
(Verband unabhängiger Vermögensverwalter/VuV) 
Medical Strategy joined the VuV in 2002, becoming its 47th member. The VuV Germany is an association that represents the interests of independent financial portfolio managers who are not tied to any particular banks. The primary objectives of the VuV are to help independent asset management companies become established as important partners in the capital market, to strengthen contact and exchange between the members, to develop awareness of the industry and to be perceived positively by the public. This also requires financial portfolio managers to be competent in the field and independent in representing their clients’ interests. VuV members subscribe to a Code of Ethics, which is designed to ensure a fair and open relationship with their clients. The association was established on 12 December 1997 with seven members. There are currently around 230 members. Further information at www.vuv.de

Druck

Arbitration board
The VuV (“Verband unabhängiger Vermögensverwalter Deutschland e.V.”), which is the German association of independent asset managers, has set up an arbitration body in accordance with EU Directive 2013/11/EU of 21 May 2013 on alternative dispute resolution. The role of the VuV ombudsman body will be to help resolve financial service disputes between consumers and members of the VuV by offering an extrajudicial arbitration process. As a member of the VuV, Medical Strategy is affiliated with this arbitration body. In the event that a complaint by a client cannot be resolved directly between the parties involved, the client will now be able to appeal to the arbitration body. The arbitration process is available to the appellant free of charge. The address of the VuV ombudsman body is: VuV-Ombudsstelle, Stresemannallee 30, 60596 Frankfurt am Main, Germany. Further information about the VuV ombudsman body (including communication data, the rules of procedure and the application form) is available at www.vuv-ombudsstelle.de

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German Compensatory Fund of Securities Trading Companies (Entschädigungseinrichtung der Wertpapierhandelsunternehmen/ EdW)

Investors who use securities services in Europe have enjoyed protection under the Investor Compensation Scheme Directive (Directive 97/9/EC) since 1997. Medical Strategy is assigned to Compensatory Fund of Securities Trading Companies (EdW). Further information at www.e-d-w.de