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

GmbHG art. 40	Associate list
HGB art. 285 sec.10	Mandate list for appendix to annual financial statement
HGB art. 285 sec. 11	Share ownership list
HGB art. 313 sec. 2	Share ownership list for appendix to annual financial statement
AktG art. 20	Threshold reporting
AktG art. 21	Threshold reporting
AO art. 138 sec. 2	Foreign companies and branches
AWV art. 56a	Foreign assets (K3 notice)
WpHG art. 21	Threshold reporting

Austria

UGB art. 238 sec. 2	Share ownership list
UGB art. 239 sec. 2	Mandate list
UGB art. 265 sec. 2	Share ownership list for appendix to annual financial statement

Switzerland

ZGB art. 790 sec. 2 OR	Associate list
BEHG art. 20	Threshold reporting

USA

HSR 6a	Pre Merger Notification (Hart-Scott-Rodino Act)
HSR 6b	Pre Merger Notification (Hart-Scott-Rodino Act)
HSR 6c	Pre Merger Notification (Hart-Scott-Rodino Act)