Lupus Alpha Asset Management AG

Below you will find information from the register investment firms. The information has been provided by the organisation.

Statutory name Lupus Alpha Asset Management AG

Trade name Lupus Alpha Asset Management AG

Place of residence FRANKFURT AM MAIN

Country Duitsland

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EU-passport (incoming)

Please note: the AFM does not supervise this company directly.

Financial service	Date of entrance
Financial serviceEER Beleggingsonderneming	Date of entrance05 sep 2006

EU-passport (incoming) via licenseholder continuation

Financial service	Date of entrance current matrix
Financial serviceEER Beleggingsonderneming	Date of entrance current matrix01 nov 2007

Matrix

	A Investment services and investment activities									B Additional activities
C Financial instruments	1	2	3	4	5	6	7	8	9	1	2	3	4	5	6	7
EER Beleggingsonderneming
1				x	x								x
2				x	x								x
3
4				x	x								x
5
6
7
8
9
10
11

Explanation

Explanation
Explanation Section A Investment services and activities. Reception and transmission of orders in relation to one or more financial instruments. Execution of orders on behalf of clients. Dealing on own account. Portfolio management. Investment advice. Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis. Placing of financial instruments without a firm commitment basis. Operation of Multilateral Trading Facilities. Operation of Organised Trading Facilities Section B Ancillary services Safekeeping and administration of financial instruments for the account of clients, including custodianship and related services such as cash/collateral management. Granting credits or loans to an investor to allow him to carry out a transaction in one or more financial instruments, where the firm granting the credit or loan is involved in the transaction. Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings. Foreign exchange services where these are connected to the provision of investment services. Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments. Services related to underwriting. Investment services and activities as well as ancillary services of the type included under Section A or B of Annex 1 related to the underlying of the derivatives included under Section C - 5, 6, 7 and 10 - where these are connected to the provision of investment or ancillary services. Section C Financial Instruments Transferable securities. Money-market instruments. Units in collective investment undertakings. Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash. Options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event). Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF. Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls. Derivative instruments for the transfer of credit risk. Financial contracts for differences. Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, emission allowances or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event), as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market or an MTF, are cleared and settled through recognised clearing houses or are subject to regular margin calls. Emission allowances consisting of any units recognized for compliance with the requirements of Directive 2003/87/EC (Emissions Trading Scheme)

Explanation Section A Investment services and activities.

Reception and transmission of orders in relation to one or more financial instruments.
Execution of orders on behalf of clients.
Dealing on own account.
Portfolio management.
Investment advice.
Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis.
Placing of financial instruments without a firm commitment basis.
Operation of Multilateral Trading Facilities.
Operation of Organised Trading Facilities

Section B Ancillary services

Safekeeping and administration of financial instruments for the account of clients, including custodianship and related services such as cash/collateral management.
Granting credits or loans to an investor to allow him to carry out a transaction in one or more financial instruments, where the firm granting the credit or loan is involved in the transaction.
Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings.
Foreign exchange services where these are connected to the provision of investment services.
Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments.
Services related to underwriting.
Investment services and activities as well as ancillary services of the type included under Section A or B of Annex 1 related to the underlying of the derivatives included under Section C - 5, 6, 7 and 10 - where these are connected to the provision of investment or ancillary services.

Section C Financial Instruments

Transferable securities.
Money-market instruments.
Units in collective investment undertakings.
Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash.
Options, futures, swaps, forward rate agreements and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event).
Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market and/or an MTF.
Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in C.6 and not being for commercial purposes, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are cleared and settled through recognised clearing houses or are subject to regular margin calls.
Derivative instruments for the transfer of credit risk.
Financial contracts for differences.
Options, futures, swaps, forward rate agreements and any other derivative contracts relating to climatic variables, freight rates, emission allowances or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties (otherwise than by reason of a default or other termination event), as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Section, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market or an MTF, are cleared and settled through recognised clearing houses or are subject to regular margin calls.
Emission allowances consisting of any units recognized for compliance with the requirements of Directive 2003/87/EC (Emissions Trading Scheme)

Date last update: 19 March 2026