Under the Capital Markets Act prospectuses and Key Investor Information Documents (KIID) for funds have to be stored electronically in the Transmission and Deposit System for Fund Documents (TDS) of the OeKB Notification Office. These are kept for 15 years, making capital market relevant information transparent and traceable. For funds under the Real Estate Investment Fund Act, electronic submission is optional and can be used instead of physical submission.
You are responsible for an investment fund or real estate investment fund and have to send fund documents to the OeKB Notification Office under the Capital Markets Act in accordance with Sec. 129 Investment Fund Act or Sec. 7 Real Estate Investment Fund Act.
The Notification Office acts as a central storage system for prospectuses and Key Investor Information Documents from investment companies and receives their documents for storage and safekeeping.
Prompt depositing of documents is mandatory
The following documents, as well as the supplements to previously sent documents, have to be filed with us no later than on the date of their publication:
- For investment and real estate investment funds: the signed, complete prospectus
- Additionally, for investment funds: the Key Investor Information Document (KIID)
- Additionally, for real estate investment funds: the signed, simplified prospectus
The filing of the documents also counts as transmission to the Financial Market Authority under Sec. 137 para. 1 Investment Fund Act.
Depositing of optional documents as an OeKB service
In addition, you can also store optional documents at the OeKB Notification Office under the Capital Markets Act. These are documents according to Sec. 21 para. 1 Alternative Investment Funds Manager Act (AIFMG) and reports under the Investment Fund Act, such as semi-annual reports, annual reports and audit reports.
The transmission of fund documents
In order to be able to send documents to the Transmission and Deposit System for Fund Documents (TDS), you must first register for the service.
The TDS can be reached via the Online Notification Office. Please log in using the OeKB Login Portal.
Individual or bulk storage possible
When filing documents, you can choose between individual or bulk storage. In the case of individual storage, you can allocate one or more documents to an individual fund in a single step. In the case of bulk storage, you can allocate several documents to several funds in a single step. For details, see the OeKB TDS user manual.
Enter metadata online or embed in the document
You can either enter the document metadata – language, date, etc. – on the online screen or simply embed it in the documents. To find out how to embed metadata, please refer to the OeKB TDS metadata specification and the OeKB TDS metadata assistant.
TDS metadata specification
TDS metadata assistant
Transmission in the “Portable Document Format/A (ISO 19005)” (PDF/A)
According to the Transmission and Deposit Regulation, documents are transmitted in the “Portable Document Format/A (ISO 19005)” (PDF/A). Documents that have to be signed and sent according to statutory provisions can be stored using a qualified signature or with a scanned signature.
What to do with faulty transmissions?
If you have sent documents with content differing from the published version or a technical or formal design which does not meet the filing requirements, they can be categorised as invalid. Therefore, please send the completed and signed application for invalidation to email@example.com.
Specifically for real estate investment funds
Real estate investment funds can use the benefits of electronic filing as an alternative to physical filing.
In order to file prospectuses physically, please send them to the Notification Office by post or drop them off personally. Please note that the documents have to reach us no later than on the date of their publication.
OeKB Notification Office under the Capital Markets Act
Strauchgasse 3/6th floor
Monday to Thursday from 9.00 am to 4.00 pm
Friday from 9.00 am to 3.00 pm
Outside of the Notification Office’s opening hours, documents can also be deposited with the porter at Strauchgasse 3 at any time.
Additional services of the Notification Office
In connection with the statutory storage of fund documents, the OeKB Notification Office under the Capital Markets Act also provides a range of additional services, some of which can be requested in the course or sending individual documents or as a matter of principle. You can also use these services for optional documents, which considerably reduces your internal efforts and costs.
Forwarding to OeKB CSD GmbH
Fund terms approved by the Financial Market Authority that are transmitted to the TDS as an appendix to the prospectus pursuant to Art. 129 para. 2 InvFG and as an appendix to the information pursuant to Art. 21 para. 1 AIFMG, are forwarded by the OeKB Notification Office under the Capital Markets Act - upon request - to OeKB CSD GmbH free of charge for the purposes of their safekeeping and administration.
The Notification Office passes on the document to be forwarded (prospectus or information according to Sec. 21 para. 1 AIFMG) unchanged and in its entirety.
This forwarding can be requested at the time of transmission by selecting the function “Forwarding to OeKB CSD” in the TDS.
Provision on the prospectus and KIID website
The investment company of a fund must always provide a current version of its KIIDs as well as the prospectus, pursuant to Art. 138 para. 3 InvFG. This primarily serves as information for the investor.
If requested, the OeKB Notification Office under the Capital Markets Act will provide transmitted documents – prospectuses, supplements, KIID – on the “Prospectus and KIID website” of the Online Notification Office for investors in electronic format.
In order to instruct the Notification Office, please complete the order for additional services once, sign it with the corporate signature and send it by email to firstname.lastname@example.org. Alternatively this can be requested at the time of transmission by selecting the function in the TDS for each document separately.
Physical provision of investment fund documents
Pursuant to Art. 138 para. 5 InvFG, investment companies shall, at the request of shareholders, provide a free paper version of the KIID, the prospectus, the annual report and semi-annual report and - in the case of a Master Feeder UCITS - a current paper version of the prospectus and of the annual report and semi-annual report of the Master UCITS.
When this service is requested, the OeKB Notification Office under the Capital Markets Act performs the physical provision of the documents that the investment company has sent via TDS.
You can also order this additional service with the above application. Please send the completed document signed with a corporate signature to email@example.com.
For documents pursuant to InvFG, ImmoInvFG or AIFMG, the OeKB Notification Office under the Capital Markets Act charges the following fee (excl. VAT) for the entire 15-year storage period:
Prices in EUR (exkl. VAT), effective 1 January 2023 (CPI 2015 as per July 2022)
|Prospectuses and supplements pursuant to InvFG and ImmoInvFG||120 Euro|
|Information pursuant to Sec. 21 para. 1 AIFMG||40 Euro|
|Reports under the Investment Fund Act||free of charge|
|Provision on the Prospectus and KIID Website||free of charge|
|Forwarding to OeKB CSD GmbH||free of charge|
|Physical provision of fund documents per page pursuant to Sec. 138 para. 5 InvFG||0.36 Euro|
|Processing fee per invoice correction or cancelation||150 Euro|
Payment is made per upload per document (regardless of whether this is invalidated at a later date).
Invalidations are not charged separately, they are covered by the upload fee.
Any more questions?