As OeKB is the Notification Office under the Capital Markets Act, applicants like issuers have to file their prospectuses, supplements, addenda and other documents for securities and investments with OeKB.

Your situation

You are an issuer and offer securities or investment products. Alternatively, you are a service provider for issuers, such as a bank, a crowdfunding platform, a financial adviser or a solicitor. Whatever your capacity, you must ensure that the corresponding prospectuses, and supplements were filed with the Notification Office in good time.

Our service: Checking and safekeeping of the original documents

As the Notification Office under the Capital Markets Act, OeKB verifies approved or audited documents it receives, relating to admissions to listing or public offers of securities and other investments (Sec. 1 para. 1 points 3 and 4 KMG) for the formal, statutory acceptance of prospectus liability, its approval by the FMA or its certificate of approval.
Furthermore, the Notification Office keeps these documents for a period of 15 years from the date of deposit, which contributes to the preservation of evidence of this capital market relevant information.

Prompt filing of documents with the Notification Office

Securities documents

Unapproved supplements including a declaration of compliance have to be sent to the Notification Office by email in accordance with the Capital Markets Act no later than on the day their publication.

Subsequently the filing of the original declaration of compliance has to take place as early as possible.

Approved prospectuses and supplements are filed by the FMA on the day of their approval for the applicants.

Investments documents

Unaudited supplements with the required signatures have to be sent to the Notification Office by email in accordance with the Capital Markets Act no later than on the day their publication.

Should the unaudited supplement already filed with the Notification Office by email deviate from the audited version, the original of the unaudited version, already filed by email, must also be filed immediately.

The filing of the audited original supplements with the required signatures has to take place as early as possible.

Originals of the audited prospectuses with the required signatures have to be filed with the Notification Office no later than on the day their publication.

Filing of originals

OeKB Notification Office under the Capital Markets Act

Strauchgasse 3 / 6th floor
1010 Vienna

Opening hours:
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 filed with the porter at Strauchgasse 3 at any time.

The filing of original documents by post is also possible, providing that they are received by the Notification Office in good time.

Prospectus auditor insurance

For investment prospectuses and supplements to investment prospectuses, proof of prospectus auditor insurance has to be submitted to the Notification Office under Sec. 8 para. 2 KMG.

Further information on this can be found on the following website:

Filing of separate documents

If an “Alternative Investment Fund” (AIF) is required to publish a prospectus, then the required and supplementary information can be deposited with the Notification Office in a separate document together with the prospectus (Sec. 21 para. 3 AIFMG).

Communication about disallowed use of prospectuses

Should an issuer become aware of a disallowed use of prospectuses in accordance with Sec. 11 para. 1 KMG, they can inform the Notification Office.

Notified prospectuses and supplements

For notified documents (i.e. documents not approved by the Austrian Financial Market Authority (FMA)), the Notification Office does not check whether the minimum signature requirements are followed. The filing and keeping of notified documents at the Notification Office are done automatically via the FMA, without any further action required on the part of the issuer.

The fees

Approved/notified prospectuses under KMG   € 600
Approved/notified prospectus supplements under KMG and addenda  € 50
Audited investment prospectuses and supplements  € 800

Prices are per document and do not include value added tax. There is no charge for the filing of unapproved and unaudited versions of the prospectuses and supplements.

Legal principles

Any more questions?

If you require further information, please do not hesitate to contact us
Notification Office Service Centre
T +43 1 53127-2429
meldestelle@oekb.at
Mon - Thu: 09:00 a.m. - 04:00 p.m.
Fri: 09:00 a.m. - 03:00 p.m.