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 audited documents relating to public offers of other investments (Sec. 1 para. 1 points 3 CMA 2019) for the formal, statutory acceptance of prospectus liability.
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.
Securities prospectus documentation are published by Notification Office in fulfilment of a delegation of tasks by the Financial Market Authorita (legal basis: § 13 para 3 no. 3 CMA 2019 in conjunction with Art 21 para 5 Prospectus Regulation) as per 21 July 2019.
Prompt filing of documents with the Notification Office
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
1010 Vienna
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. 7 para. 1 CMA 2019.
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. 22 para. 1 KMG 2019, they can inform the Notification Office.
Notified prospectuses and supplements
For documents notified to Austria (i.e. documents approved by other National Competent Authories than 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.
As per 21 July 2019 only supplements to securities prospectuses approved by 20 July 2019 have to be deposited with Notification Office.
The fees
| Audited investment prospectuses and supplements |
€ 1,070 |
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?
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