Legal Resources


Important notes on marketing materials

DWS is the brand name under which DWS Group GmbH & Co. KGaA and its subsidiaries do business. Clients will be provided DWS products or services by one or more legal entities that will be identified to them in relevant documentation.

Any opinions stated reflect the current assessment of DWS Investment GmbH and International GmbH and are subject to change without notice.

Forecasts are not a reliable indicator of future performance. Forecasts are based on assumptions, estimates, opinions and hypothetical performance analysis, therefore actual results may vary. The promotional content on this website is intended to be a marketing communication, not a financial analysis. Accordingly, it may not comply with legal obligations requiring the impartiality of financial analysis or prohibiting trading prior to the publication of a financial analysis.

Principles of Best Execution

Principles of Best Execution


Conflicts of interest

Conflicts of interest – DWS-Gruppe


DWS Remuneration Policy

Compensation Policy – DWS Investment GmbH
Compensation Policy – DWS International GmbH
Compensation Policy – DWS Investment S.A.


FX Global Code Statement of Adherence

FX Global Code Statement of Adherence DWS International GmbH
FX Global Code Statement of Adherence DWS Hong Kong
FX Global Code Statement of Adherence DWS Investment Management Americas


Summary of analysis and monitoring of execution of client orders on execution venues



List of sub-custodians

Link to list of sub-custodians


For product details and legal resources in connection with investment funds of DWS Investment GmbH or DWS Investment SA please refer to the respective regional product website.


List of outsourcing companies

Link to list of outsourcing companies


For product details and legal resources in connection with investment funds of DWS Investment GmbH or DWS Investment SA please refer to the respective regional product website.


BVI rules of conduct

The rules of conduct of the Bundesverband Investment und Asset Management e.V. (BVI) set voluntary standards that go beyond the statutory obligations of fund managers. They take into account their role as fiduciaries, which places particularly high demands on conduct toward investors. We, DWS Investment GmbH and DWS International GmbH, comply with the rules of conduct in the most recent version.
Link to BVI rules of conduct: https://www.bvi.de/en/about-the-industry/rules-of-conduct/


Information on sustainability according to the EU Disclosure Regulation

As from 10 March 2021, the 'Regulation of the European Parliament and of the Council on sustainability-related disclosures in the financial services sector', the so-called Disclosure Regulation, shall apply to DWS Investment GmbH, a financial market participant and financial adviser within the meaning of this regulation, as well as to DWS International GmbH, a financial market participant and financial adviser within the meaning of this regulation.

For the purposes of compliance with Article 10 Disclosure Regulation, DWS Investment GmbH and DWS International GmbH will include the information required under Article 10 Disclosure Regulation on the transparency of the promotion of environmental or social characteristics and of sustainable investments for professional clients under the website jointly operated by DWS Investment GmbH and DWS International GmbH.

For the purposes of compliance with Article 10 of EU Regulation 2019/2088 of 27 November 2019 on sustainability-related disclosures in the financial services sector (“Disclosure Regulation”), DWS Investment SA will include the information required under Article 10 Disclosure Regulation on the transparency of the promotion of environmental or social characteristics and of sustainable investments on the relevant websites of the financial products that it manages. Should you have any queries, please contact your client relationship manager.

According to the Disclosure Regulation, DWS Investment GmbH, DWS International GmbH and DWS Investment S.A. are also obliged to publish on their website certain information on the integration of sustainability risks and the consideration of adverse sustainability impacts in their processes. This information can be found below:

DWS PRI Assessment Report 2023  View
DWS PRI Assessment Report 2021  View
DWS PRI Assessment Report 2020  View
DWS PRI Public Transparency Report 2023  View
DWS PRI Public Transparency Report 2021  View
DWS PRI Public Transparency Report 2020  View
DWS Stewardship Report (2023)  View
Active Ownership - Engagement and Proxy Voting Report 2022  View
Coal Policy 2024  View
Compensation Policy of DWS International GmbH  View
Compensation Policy of DWS Investment GmbH  View
Compensation Policy of DWS Investment S.A.  View
Controversial Weapons Statement  View
Corporate Governance & Proxy Voting Policy (2024)  View
Engagement Policy

 View

Information about Policies on the Integration of Sustainability Risks – DWS International GmbH  View
Information about Policies on the Integration of Sustainability Risks – DWS Investment GmbH  View
Information about Policies on the Integration of Sustainability Risks – DWS Investment S.A.  View
ESG Integration KOD for EMEA Xtrackers  View
Procedure Document on ESG Methods, Data Sources and Data Processing  View
Global Real Estate ESG & Sustainability policy  View
Global Sustainability Framework - DWS Private Real Estate Investments Management
 
 View
Statement on Principal Adverse Impacts of Investment Decisions on Sustainability Factors – DWS Investment S.A. – 2024-06-28  View
Statement on Principal Adverse Impacts of Investment Decisions on Sustainability Factors – DWS International GmbH – 2024-06-28  View
Statement on Principal Adverse Impacts of Investment Decisions on Sustainability Factors – DWS Investment GmbH – 2024-06-28  View
Private Real Estate Global Sustainability Framework  View
Statement on Principal Adverse Impacts of Investment Advice on Sustainability Factors – DWS International GmbH – 2024-09-01    View
Statement on Principal Adverse Impacts of Investment Advice on Sustainability Factors – DWS  Investment GmbH– 2024-09-01  View
Statement on Principal Adverse Impacts of Investment Advice on Sustainability Factors – DWS Investment S.A.– 2024-09-01  View
Statement on Principal Adverse Impacts of Investment Decisions on Sustainability Factors - DWS International GmbH– 2023-06-30   View
Statement on Principal Adverse Impacts of Investment Decisions on Sustainability Factors - DWS Investment GmbH– 2023-06-30   View
Statement on Principal Adverse Impacts of Investment Decisions on Sustainability Factors - DWS Investment S.A. – 2023-06-30   View
Disclosure Statement: Operating Principles for Impact Management 2023

 View

Disclosure Statement: Operating Principles for Impact Management 2022

 View

Disclosure Statement: Operating Principles for Impact Management 2021  View
Disclosure Statement: Operating Principles for Impact Management 2020  View
External verification of alignment with Operating Principles for Impact Management (review 2021) (Sustainable Investments Statement)  View 
Slavery and Human Trafficking Statement

 View

UK Stewardship Code Report DWS Investment UK Limited

 View

Information on complaint management

Your satisfaction with our services is our highest requirement. If we do not meet your expectations, please let us know.

How to contact us

In person
Directly with your advisor or in our premises at Mainzer Landstraße 11-17, 60329 Frankfurt am Main

By phone

Directly with your advisor or at +49 (0)69 / 910-10000


E-Mail / Internet
info@dws.com

Written
DWS Investment GmbH,
Complaint management | Poststop 44 Z 01 C
60612 Frankfurt am Main

or
DWS International GmbH,
Complaint management | Poststop 44 Z 01 C
60612 Frankfurt am Main

You can expect that

It is our goal to clarify your concern immediately and to look for a common solution. If we cannot resolve your request directly, we will confirm receipt. We will inform you of a contact person and the expected processing time.

We do that for you

We process each complaint individually and deal with the facts you have described. We do the necessary research for this. If we need a little more time to answer, we will provide you with interim information.

Sometimes a third party is needed

If we have not found a satisfactory solution for you, please contact us again. Alternatively, you can also address your concerns to other offices:

Office of the ombudsman of the BVI
Federal Association of Investment and Asset Management e.V.
Unter den Linden 42
10117 Berlin
Phone: +49 030 6449046-0
Fax: +49 030 6449046-29
Email: info@ombudsstelle-investmentfonds.de

Federal Financial Services Authority (BaFin)< br />Graurheindorfer Straße 108,
53117 Bonn
or
Marie-Curie-Straße 24-28,
60439 Frankfurt am Main
Phone: + 49 0228 4108-0
Fax: +49 0228 4108-1550
Email: poststelle@bafin.de

Report misconduct on human rights in DB Group supply chain

DWS as part of DB Group encourages all its stakeholders to contact DWS or DB AG directly whenever they may have clear evidence of DB AG’s failure to respect human rights in its own activities or as a result of its business relationships.
Anyone can contact DWS to make complaints or raise matters to DB Group attention relating to the above. This external complaints procedure provides information about dedicated channels to raise a concern, protection of reporters and processes that are triggered in case of reports.


European online dispute resolution platform (ODR platform)

The European Commission has established a European online dispute resolution (ODR) platform at https://ec.europa.eu/consumers/odr. A consumer can use the online dispute resolution platform for the out-of-court settlement of a dispute arising from online contracts with a company established in the EU. We are not obligated or willing to participate in dispute resolution proceedings before a consumer arbitration board.

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