Legal Notification

One of the most pressing tasks of classical Investment Administration is the automated fulfillment of legal and internal reporting obligations. Through the implementation of standard software, these obligations require only minimal effort and time, thereby easing the burden on highly qualified and urgently needed personnel.

For instance, a share ownership list as defined in § 313 Par. 2 and § 285 No. 11 German Commercial Code is required in the appendix of the financial statements of every company. Furthermore, German foreign trade regulations, the German Securities Trade Act, Corporation Law, Federal Cartel Office (§ 39 Free Trade Act), Tax Office (corporate income tax registration) and other bodies require the timely submission of various reports.

There are, of course, similiar reporting obligations in other countries. Here are just a few examples: DGI 2059 (France), MAUS A2/VERA (Austria), Hart-Scott-Rodino Act (USA), SEC filings (USA) and many others that can be generated using completely automated reports or custom developments.

This list of available standardized legal notes is growing constantly - please contact us for the most current version!

Germany

Act on Limited Liability Companies (GmbHG) §40	List of shareholders
Commercial Code (HGB) §285(10)	List of mandates, annual financial statement, notes to financial statement
Commercial Code (HGB) §285(11)	Share ownership list
Commercial Code (HGB) §313(2)	Share ownership list, annual financial statement, notes to financial statement
Stock Corporation Act (AktG) §20	Threshold value stock corporation 25%, 50%
Stock Corporation Act (AktG) §21	Threshold value companies limited by shares 25%, 50%
Tax Code (AO) §138(2)	Foreign companies and permanent establishments
Foreign Trade and Payments Regulation (AWV) §56a	Foreign assets K3 notification
Foreign Trade and Payments Regulation (AWV) §56a	Negative report K3 notification
Securities Trading Act (WpHG) §21	Notification of threshold value

Austria

Business Enterprise Code (UGB AT) §238(2)	Share ownership list
Business Enterprise Code (UGB AT) §239(2)	List of mandates
Business Enterprise Code (UGB AT) §265(2)	Share ownership list, annual financial statement, notes to financial statement
Stock Exchange Act (BörsenG) §91	Notification of threshold value
Insurance Supervision Act (VAG) §76	Acquisition and sale of shares

Switzerland

Civil Code (ZGB) Art. 790(2) OR	List of shareholders
Stock Exchange Act (BEHG) Art. 20	Notification of threshold value

USA

HSR 6a	Hart-Scott-Rodino Act
HSR 6b	Hart-Scott-Rodino Act
HSR 6c	Hart-Scott-Rodino Act
FED FR Y-7	Annual Report of Foreign Banking Organizations (Items 2a, 2b, 3a, 3b and 3c)

UK

UK Form AD01	Change the registered office of a UK company
UK Forms AP01 - AP04, CH01 - CH04, TM01/TM02	Appointment, change and termination of a mandate of a Director or secretary including change of details.
UK Form AA01	Change of accounting reference data
UK Forms AD02, AD03 and AD04	Notice of Single alternative inspection location (SAIL), documents kept there or returned to the registered office
UK Form SH01	Notice of increase in nominal capital and Return of Allotment of Shares
UK Form AR01	Annual return of UK company