FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
AMF - Autorité des marchés financiers (FR)
Total S.A.
Supplement
4th Supplement to Base Prospectus €20,000,000,000 Euro Medium Term Note Programme
18.02.2014
19.02.2014
Renault S.A.
Supplement
5th Supplement to €7,000,000,000 Euro Medium Term Note Programme
21.02.2014
24.02.2014
Total S.A.
Supplement
5th Supplement to Base Prospectus €20,000,000,000 Euro Medium Term Note Programme
14.03.2014
17.03.2014
Banque PSA Finance
Supplement
1st Supplement to Base Prospectus €14,000,000,000 Debt Issuance Programme for the issue of Notes
24.03.2014
25.03.2014
Total S.A.
Supplement
6th Supplement to Base Prospectus €20,000,000,000 Euro Medium Term Note Programme
08.04.2014
09.04.2014
Total S.A.
Base prospectus
Base Prospectus to €20,000,000,000 Euro Medium Term Note Programme
23.04.2014
24.04.2014
KLEPIERRE
Base prospectus
Base Prospectus to € 5,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
25.04.2014
28.04.2014
Total S.A.
Supplement
1st Supplement to Base Prospectus €20,000,000,000 Euro Medium Term Note Programme
13.05.2014
14.05.2014
PEUGEOT SA
Base prospectus
Base Prospectus to €5,000,000,000 Euro Medium Term Note Programme
27.05.2014
30.05.2014
Intel Corporation
Equity securities
Prospectus to INTEL CORPORATION - 2006 STOCK PURCHASE PLAN
18.06.2014
19.06.2014
MICROSOFT CORPORATION
Equity securities
Prospectus to MICROSOFT CORPORATION 2003 EMPLOYEE STOCK PURCHASE PLAN
26.06.2014
27.06.2014
BNP Paribas
Base prospectus
Base Prospectus to Note, Warrant and Certificate Programme
05.06.2014
08.07.2014
BNP Paribas
Supplement
1st Supplement to Base Prospectus Note, Warrant and Certificate Programme
11.07.2014
16.07.2014
Total S.A.
Supplement
2nd Supplement to Base Prospectus €20,000,000,000 Euro Medium Term Note Programme
07.08.2014
08.08.2014
BNP Paribas
Supplement
2nd Supplement to Base Prospectus Note, Warrant and Certificate Programme
07.08.2014
11.08.2014
KLEPIERRE
Supplement
1st Supplement to Base Prospectus € 5,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
04.09.2014
05.09.2014
BNP Paribas
Supplement
3rd Supplement to Base Prospectus Note, Warrant and Certificate Programme
05.09.2014
08.09.2014
BNP Paribas
Supplement
4th Supplement to Base Prospectus NOTE, WARRANT AND CERTIFICATE
22.09.2014
23.09.2014
BNP Paribas
Supplement
5th Supplement to Base Prospectus Note, Warrant and Certificate Programme
10.10.2014
20.10.2014
CISCO SYSTEMS INC.
Equity securities
Prospectus to EMPLOYEE STOCK PURCHASE PLAN
21.10.2014
22.10.2014
KLEPIERRE
Supplement
2nd Supplement to Base Prospectus € 5,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
27.10.2014
28.10.2014
Total S.A.
Supplement
3rd Supplement to €20,000,000,000 Euro Medium Term Note Programme
06.11.2014
07.11.2014
BNP Paribas
Supplement
6th Supplement to Base Prospectus Note, Warrant and Certificates Programme
07.11.2014
12.11.2014
(to be continued)
DVR 0937487
Page 1 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Renault S.A.
Supplement
2nd Supplement to Base Prospectus €7,000,000,000 Euro Medium Term Note Programme
04.11.2014
14.11.2014
Renault S.A.
Supplement
1st Supplement to Base Prospectus €7,000,000,000 Euro Medium Term Note Programme
29.07.2014
14.11.2014
Renault S.A.
Base prospectus
Base Prospectus to Euro 7,000,000,000 Euro Medium Term Note Programme
15.05.2014
26.11.2014
Banque PSA Finance
Base prospectus
Base Prospectus to €14,000,000,000 Debt Issuance Programme for the issue of Notes
09.12.2014
12.12.2014
Total S.A.
Supplement
4th Supplement to Base Prospectus €23,000,000,000 Euro Medium Term Note Programme
19.12.2014
22.12.2014
Date of prospectus
Received
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
AFM - Autoriteit Financiele Markten (NL)
Oikocredit, Ecumenical
Development Cooperative
Society U.A.
Supplement
3rd Supplement to Prospectus in respect of the issuance of Shares
16.01.2014
16.01.2014
ING Bank N.V.
Supplement
3rd Supplement to various Base Prospectuses
14.02.2014
14.02.2014
ING Bank N.V.
Supplement
3rd Supplement to Base Prospectus €40,000,000,000 Global Issuance Programme for the issuance of Medium
Term Notes and Inflation Linked Notes
14.02.2014
14.02.2014
ING Bank N.V.
Supplement
3rd Supplement to various Base Prospectuses
14.02.2014
17.02.2014
Rabobank Nederland
Supplement
4th Supplement to Base Prospectus in respect of the EUR 160,000,000,000 Global Medium-Term Note
Programme
27.02.2014
27.02.2014
N.V. Bank Nederlandse
Gemeenten
Supplement
3rd Supplement to Base Prospectus to Euro 90,000,000,000 Debt issuance programme
10.03.2014
10.03.2014
Rabobank Nederland
Base prospectus
Base Prospectus to EUR 160,000,000,000 Global Medium-Term Note Programme
07.05.2014
07.05.2014
ING Bank N.V.
Supplement
4th Supplement to Base Prospectus €40,000,000,000 Global Issuance Programme for the issuance of Medium
Term Notes and Inflation Linked Notes
09.05.2014
12.05.2014
ING Bank N.V.
Supplement
4th Supplement to various Base Prospectuses
09.05.2014
12.05.2014
N.V. Bank Nederlandse
Gemeenten
Supplement
4th Supplement to Base Prospectus Euro 90,000,000,000 Debt issuance programme
03.06.2014
03.06.2014
Oikocredit, Ecumenical
Development Cooperative
Society U.A.
Equity securities
Prospectus for the issuance of shares in the capital of Oikocredit, Ecumenical Development Cooperative
Society U.A.
04.06.2014
04.06.2014
Oikocredit, Ecumenical
Development Cooperative
Equity securities
Prospectus to the offering of non-exchangeable registered depository receipts
16.06.2014
16.06.2014
(to be continued)
DVR 0937487
Page 2 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Society U.A.
N.V. Bank Nederlandse
Gemeenten
Base prospectus
Base Prospectus to Euro 90,000,000,000 Debt issuance programme
19.06.2014
20.06.2014
Oikocredit, Ecumenical
Development Cooperative
Society U.A.
Supplement
1st Supplement to Prospectus for the issuance of shares in the capital of Oikocredit, Ecumencial Development
Cooperative Society U.A.
23.07.2014
24.07.2014
Oikocredit, Ecumenical
Development Cooperative
Society U.A.
Supplement
1st Supplement to Prospectus Stichting Oikocredit International Share Foundation in respect of the offering of
non-exchangeable registered depository receipts
23.07.2014
24.07.2014
Coöperatieve Rabobank U.A.
(vormals COÖPERATIEVE
CENTRALE RAIFFEISEN-BOER
ENLEENBANK B.A.)
Base prospectus
Base Prospectus to EUR 15,000,000,000 Structured Medium-Term Note Programme
30.07.2014
08.08.2014
Coöperatieve Rabobank U.A.
(vormals COÖPERATIEVE
CENTRALE RAIFFEISEN-BOER
ENLEENBANK B.A.)
Supplement
Supplement to Base Prospectus EUR 15,000,000,000 Structured Medium-Term Note Programme
21.08.2014
21.08.2014
Rabobank Nederland
Supplement
Supplement to Base Prospectus EUR 160,000,000,000 Global Medium-Term Note Programme
21.08.2014
21.08.2014
N.V. Bank Nederlandse
Gemeenten
Supplement
1st Supplement to Base Prospectus dated 19 June 2014
25.08.2014
25.08.2014
Rabobank Nederland
Supplement
Supplement to Base Prospectus EUR 160,000,000,000 Global Medium-Term Note Programme
05.11.2014
05.11.2014
Date of prospectus
Received
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
BaFin - Bundesanstalt für Finanzdienstleistungsaufsicht (DE)
The Royal Bank of Scotland plc
Base prospectus
Base Prospectus to Rohstoffanleihen, Rohstoff-Terminkontraktanleihen, Indexanleihen und Aktienanleihen
23.12.2013
02.01.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
30.12.2013
03.01.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
30.12.2013
03.01.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
30.12.2013
06.01.2014
Lang & Schwarz AG
Supplement
3rd Supplement to the Base Prospectus to derivative Produkte
06.01.2014
07.01.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus to Emission von Zertifikate, Optionsscheine und Schuldverschreibungen
07.01.2014
08.01.2014
Deutsche Bank AG
Supplement
Supplement to various Base Prospectuses
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Societe Generale Effekten
GmbH
Base prospectus
Base Prospectus to Index linked Notes
08.01.2014
09.01.2014
ING Bank N.V.
Base prospectus
Base Prospectus to € 5,000,000,000 German Note Programme for share and index underlyings
10.01.2014
15.01.2014
UBS AG
Base prospectus
Base Prospectus to the Issuance of Fixed Income Securities (Rates)
14.01.2014
15.01.2014
Lang & Schwarz AG
Supplement
4th Supplement to Base Prospectus über derivative Produkte
22.01.2014
23.01.2014
Commerzbank AG
Base prospectus
Base Prospectus to Strukturierte Zertfikate
22.01.2014
24.01.2014
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
27.01.2014
28.01.2014
Lang & Schwarz AG
Supplement
5th Supplement to Base Prospectus derivative Produkte
29.01.2014
30.01.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses (english and german version)
31.01.2014
31.01.2014
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
28.01.2014
31.01.2014
The Royal Bank of Scotland plc
Supplement
11th Supplement to Base Prospectus EXCHANGE TRADED NOTES AND EXCHANGE TRADED
COMMODITIES
28.01.2014
31.01.2014
The Royal Bank of Scotland plc
Supplement
12th Supplement to Base Prospectus Bonus and Discount Certificates
28.01.2014
31.01.2014
The Royal Bank of Scotland plc
Supplement
3rd Supplement to Base Prospectus BONUS UND DISCOUNT ZERTIFIKATE
28.01.2014
31.01.2014
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
31.01.2014
05.02.2014
Vontobel Financial Products
GmbH
Base prospectus
Base Prospectus to Faktor-Zertfikate
05.02.2014
06.02.2014
Commerzbank AG
Base prospectus
Base Prospectus to TURBO-Zertifikate
07.02.2014
10.02.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Zertifikate
06.02.2014
10.02.2014
Lang & Schwarz AG
Supplement
6th Supplement to Base Prospectus derivative Produkte
07.02.2014
10.02.2014
Commerzbank AG
Base prospectus
Base Prospectus to Bonus-Zertifikate
07.02.2014
11.02.2014
Deutsche Bank AG
Supplement
6th Supplement to various 3partite Base Prospectuses
10.02.2014
11.02.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
11.02.2014
12.02.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus Programm für die Emission von Schuldverschreibungen, Zertifikaten und
Optionsscheinen
11.02.2014
12.02.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
12.02.2014
12.02.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus für das Programm für die Emission von Zertifikaten, Optionsscheinen und
12.02.2014
13.02.2014
(to be continued)
DVR 0937487
Page 4 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Schuldverschreibungen
J.P. Morgan International
Derivatives Ltd.
Supplement
Supplements to various Base Prospectuses
06.11.2013
13.02.2014
BNP Paribas Emissions- und
Handelsgesellschaft mbH
Supplement
1st Supplement to various 3partite Base Prospectuses
13.02.2014
14.02.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
13.02.2014
18.02.2014
ING Bank N.V.
Supplement
1st Supplement to Base Prospectus German Note Programme
14.02.2014
18.02.2014
ING Bank N.V.
Supplement
1st Supplement to Base Prospectus German Note Programme
14.02.2014
18.02.2014
IKB Deutsche Industriebank
Aktiengesellschaft
Supplement
4th Supplement to Base Prospectus Debt Issuance Programme
18.02.2014
19.02.2014
Lang & Schwarz AG
Supplement
7th Supplement to Base Prospectus derivative Produkte
17.02.2014
19.02.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
19.02.2014
20.02.2014
UBS AG
Supplement
Supplements to various 3partite Base Prospectuses
19.02.2014
20.02.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
19.02.2014
21.02.2014
IKB Deutsche Industriebank
Aktiengesellschaft
Base prospectus
Base Prospectus to Debt Issuance Programme
20.02.2014
21.02.2014
IKB Deutsche Industriebank
Aktiengesellschaft
Supplement
4th Supplement to Base Prospectus Debt Issuance Programme
18.02.2014
21.02.2014
Lang & Schwarz AG
Supplement
7th Supplement to Base Prospectus derivative Produkte
17.02.2014
21.02.2014
Lang & Schwarz AG
Supplement
8th Supplement to Base Prospectus derivative Produkte
20.02.2014
21.02.2014
PEINE GmbH
Supplement
2nd Supplement to Prospectus für das öffentliche Angebot von 15.000 auf den Inhaber lautenden
Teilschuldverschreibungen mit einem Gesamtnennbetrag von EUR 15.000.000,00
17.02.2014
21.02.2014
PEINE GmbH
Supplement
1st Supplement to Prospectus für das öffentliche Angebot von 15.000 auf den Inhaber lautenden
Teilschuldverschreibungen mit einem Gesamtnennbetrag von EUR 15.000.000,00
12.09.2013
21.02.2014
Vontobel Financial Products
GmbH
Supplement
1st Supplement to Base Prospectus Faktor-Zertifikate
20.02.2014
21.02.2014
UBS AG
Non-equity securities
3partite Prospectus to up to 500,000 UBS Open-End Certificates based on the UBS Global Emerging Markets
(GEM) RADA Strategy Index
24.02.2014
25.02.2014
Commerzbank AG
Base prospectus
Base Prospectus to Unlimited TURBO-Zertifikate
25.02.2014
26.02.2014
DZ Bank AG Deutsche
Zentral-G
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
25.02.2014
26.02.2014
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
25.02.2014
26.02.2014
The Royal Bank of Scotland plc
Supplement
4th Supplement to Base Prospectus BONUS UND DISCOUNT ZERTIFIKATE
25.02.2014
26.02.2014
Commerzbank AG
Base prospectus
Base Prospectus to Strukturierte Anleihen
25.02.2014
27.02.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Anleihen und Zertifikate
19.02.2014
27.02.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Zertifikate
26.02.2014
27.02.2014
Commerzbank AG
Base prospectus
Base Prospectus to Bonus-Zertifikate
26.02.2014
28.02.2014
Deutsche Bank AG
Supplement
Supplement to 3partite Base Prospectus Emission von Zertifikate, Optionsscheine und Schuldverschreibung
28.02.2014
03.03.2014
Deutsche Bank AG
Supplement
7th Supplement to various 3partite Base Prospectuses
28.02.2014
03.03.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
04.03.2014
04.03.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
04.03.2014
05.03.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus für Emission von Zertifikaten, Optionsscheinen und Schuldverschreibungen
04.03.2014
05.03.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus für Emission von Schuldverschreibungen, Zertifikaten und Optionsscheinen
04.03.2014
06.03.2014
Deutsche Bank AG
Supplement
Supplement to 3partite Base Prospectus für Emission von Zertifikaten, Optionsscheinen und
Schuldverschreibungen
04.03.2014
06.03.2014
Deutsche Bank AG
Supplement
Supplements to 3partite Base Prospectuses
04.03.2014
06.03.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Zertifikate
27.02.2014
06.03.2014
BNP Paribas Emissions- und
Handelsgesellschaft mbH
Base prospectus
Base Prospectus to Zertifikate bezogen auf Gold oder Indizes
03.03.2014
07.03.2014
Lang & Schwarz AG
Supplement
Supplement to Base Prospectus derivative Produkte
05.03.2014
07.03.2014
The Royal Bank of Scotland plc
Supplement
6th Supplement to Base Prospectus Turbo Warrants and Open End Turbo Warrants
05.03.2014
07.03.2014
The Royal Bank of Scotland plc
Supplement
12th Supplement to Base Prospectus for Exchange Traded Notes and Exchange Traded Commodities
03.03.2014
07.03.2014
The Royal Bank of Scotland plc
Supplement
13th Supplement to Base Prospectus Bonus and Discount Certificates
03.03.2014
07.03.2014
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
03.03.2014
07.03.2014
The Royal Bank of Scotland plc
Supplement
1st Supplement to Base Prospectus Rohstoffanleihen, Rohstoff-Terminkontraktanleihen, Indexanleihen und
Aktienanleihen
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Propectuses
03.03.2014
07.03.2014
The Royal Bank of Scotland plc
Supplement
5th Supplement to Base Prospectus to Bonus und Discount Zertifikate
03.03.2014
07.03.2014
UniCredit Bank AG
Supplement
3rd Supplement to Base Prospectus for the issuance of Knock-out Securities and Warrants under the Euro
50,000,000,000 Debt Issuance Programme
06.03.2014
07.03.2014
UniCredit Bank AG
Supplement
4th Supplement to Base Prospectus to Knock-out Wertpapieren und Optionsscheinen unter dem Euro
50.000.000.000 Debt Issuance Programme
06.03.2014
07.03.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to various Base Prospectuses
16.01.2014
10.03.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to various Base Prospectuses
06.03.2014
10.03.2014
BNP Paribas Emissions- und
Handelsgesellschaft mbH
Base prospectus
Base Prospectus to Express-Zertifikate
10.03.2014
10.03.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
03.03.2014
10.03.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
06.03.2014
10.03.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectus
06.03.2014
10.03.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various 3partite Base Prospectuses
06.03.2014
10.03.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various 3partite Base Prospectuses
06.03.2014
10.03.2014
IKB Deutsche Industriebank
Aktiengesellschaft
Supplement
1st Supplement to the Debt Issuance Programme
07.03.2014
10.03.2014
UBS AG
Base prospectus
Base Prospectus to Performance Securities
10.03.2014
12.03.2014
Commerzbank AG
Base prospectus
Base Prospectus to Strukturierte Anleihen mit [Teil-]Kapitalschutz
12.03.2014
13.03.2014
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
18.03.2014
18.03.2014
The Royal Bank of Scotland plc
Supplement
7th Supplement to Base Prospectus for Turbo Warrrants and Open End Turbo Warrants
18.03.2014
18.03.2014
Commerzbank AG
Supplement
Supplements to various Base Prospectus
17.03.2014
19.03.2014
The Royal Bank of Scotland plc
Supplement
6th Supplement to Base Prospectus für Bonus und Discount Zertifikate
18.03.2014
19.03.2014
(to be continued)
DVR 0937487
Page 7 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
18.03.2014
20.03.2014
The Royal Bank of Scotland plc
Supplement
13th Supplement to Base Prospectus for Exchange Traded Notes and Exchange Traded Commodities
18.03.2014
20.03.2014
The Royal Bank of Scotland plc
Supplement
14th Supplement to Base Prospectus for Bonus and Discount Certificates
18.03.2014
20.03.2014
The Royal Bank of Scotland plc
Supplement
2nd Supplement to Base Prospectus für Rohstoffanleihen, Rohstoff-Terminkontraktanleihen, Indexanleihen,
Aktienanleihen
18.03.2014
20.03.2014
Berlin Hyp AG
Base prospectus
Base Prospectus to € 25,000,000,000 Offering Programme for Schuldverschreibungen und Pfandbriefe
21.03.2014
21.03.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
20.03.2014
21.03.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus für Emission von Schuldverschreibungen, Zertifikaten und Optionsscheinen
20.03.2014
21.03.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus für Emission von Zertifikaten, Optionsscheinen und Schuldverschreibungen
20.03.2014
21.03.2014
Deutsche Bank AG
Supplement
Supplements to various 3partite Base Prospectuses
20.03.2014
21.03.2014
Deutsche Bank AG
Base prospectus
Base Prospectus to Emission von Zertifikaten, Optionsscheinen und Schuldverschreibungen
20.03.2014
25.03.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Prospectus für Faktor-Zertifikate
25.03.2014
26.03.2014
IKB Deutsche Industriebank
Aktiengesellschaft
Supplement
2nd Supplement to Base Prospectus to Debt Issuance Programme
26.03.2014
27.03.2014
UniCredit Bank AG
Supplement
Supplements to various Base Prospectuses
31.03.2014
31.03.2014
UniCredit Bank AG
Supplement
Supplement to Schuldverschreibungen unter dem Euro 50.000.000.000 Debt Issuance Programme
31.03.2014
31.03.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to various Base Prospectuses
27.03.2014
01.04.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses (english version)
27.03.2014
01.04.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplement to various Base Prospectuses
27.03.2014
01.04.2014
Royal Bank of Canada
Base prospectus
Base Prospectus to Zertifikate
31.03.2014
01.04.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
27.03.2014
02.04.2014
Bayerische Landesbank
Supplement
5th Supplement to various 3partite Base Prospectuses
31.03.2014
03.04.2014
Bayerische Landesbank
Supplement
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Lang & Schwarz AG
Supplement
10th Supplement to Base Prospectus to derivative Produkte
01.04.2014
03.04.2014
Bayerische Landesbank
Supplement
Supplement to various Base Prospectuses
02.04.2014
04.04.2014
Deutsche Bank AG
Base prospectus
Base Prospectus to Programm für Emission von Zertifikaten, Schuldverschreibungen und Bonitäts-Zertifikaten
04.04.2014
04.04.2014
HSH Nordbank AG
Supplement
5th Supplement to Base Prospectuses EUR 35,000,000,000 Debt Issuance Programme for the Issue of Notes
and Pfandbriefe
03.04.2014
07.04.2014
HSH Nordbank AG
Supplement
5th Supplement to Base Prospectus Bonitätsabhängige-Schuldverschreibungen begeben unter dem
Programm zur Begebung von Inhaberschuldverschreibungen, strukturierten Inhaberschuldverschreibungen
und Pfandbriefen
03.04.2014
07.04.2014
HSH Nordbank AG
Supplement
5th Supplement to Base Prospectus verzinslichte und strukturiert verzinslichte Schuldverschreibungen und
Pfandbriefe
03.04.2014
07.04.2014
HSH Nordbank AG
Supplement
Supplements to various Base Prospectuses
03.04.2014
07.04.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Zertifikate und Anleihen
02.04.2014
08.04.2014
Vontobel Financial Products
GmbH
Supplement
3rd Supplement to Base Prospectus to Faktor-Zertifikate
07.04.2014
08.04.2014
Berlin Hyp AG
Supplement
Supplement to Base Prospectus to € 25,000,000,000 Offering Programme to Pfandbriefe und
Schuldverschreibungen
07.04.2014
09.04.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
01.04.2014
09.04.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
01.04.2014
09.04.2014
Deutsche Bank AG
Supplement
Supplements to various 3partite Base Prospectuses
08.04.2014
09.04.2014
Bayerische Landesbank
Base prospectus
Base Prospectus to Prozentnotierte Schuldverschreibungen ohne Kapitalschutz
09.04.2014
10.04.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to various Base Prospectuses
08.04.2014
11.04.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus to Emission von Zertifikaten, Schuldverschreibungen und Bonitäts-Zertifikaten
09.04.2014
11.04.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus to Emission von Schuldverschreibungen, Zertifikaten und Optionsscheinen
01.04.2014
11.04.2014
Deutsche Pfandbriefbank AG
Supplement
Supplement to Base Prospectus Euro 50,000,000,000 Debt Issuance Programme (the *Programme*)
11.04.2014
11.04.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
08.04.2014
11.04.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
08.04.2014
11.04.2014
(to be continued)
DVR 0937487
Page 9 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
09.04.2014
15.04.2014
27.03.2014
15.04.2014
Deutsche Bank AG
Base prospectus
Base Prospectus to Emission von Zertifikaten
Roche Holding AG
Equity securities
Prospectus to the offer of 702,562,700 non-voting equity securities
Credit Suisse AG
Supplement
Supplements to various Base Propectuses
16.04.2014
23.04.2014
Barclays Bank PLC
Supplement
Supplements to various Base Prospectuses
17.04.2014
24.04.2014
Commerzbank AG
Base prospectus
Base Prospectus to Optionsscheine
24.04.2014
24.04.2014
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
23.04.2014
24.04.2014
Vontobel Financial Products
GmbH
Base prospectus
Base Prospectuses to Optionsscheine
24.04.2014
25.04.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to various Base Prospectuses
17.04.2014
28.04.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
17.04.2014
28.04.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
17.04.2014
28.04.2014
Commerzbank AG
Supplement
Supplements to various Base Prospectuses
25.04.2014
29.04.2014
The Royal Bank of Scotland plc
Supplement
8th Supplement to Base Prospectus dated 11 June 2013 for Turbo Warrants and Open End Turbo Warrants
28.04.2014
30.04.2014
The Royal Bank of Scotland plc
Supplement
14th Supplement to the Base Prospectus dated 27 June 2012 for Exchange Traded Notes and Exchange
Traded Commodities
28.04.2014
30.04.2014
The Royal Bank of Scotland plc
Supplement
15th Supplement to Base Prospectus dated 30 May 2012 for Bonus and Discount Certificates
28.04.2014
30.04.2014
UniCredit Bank AG
Base prospectus
Base Prospecuts to € 50.000.000.000 Dept Issuance Programme for the issuance of Knock-out Wertpapieren
und Optionsscheinen
30.04.2014
30.04.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to € 50.000.000.000 Dept Issuance Programme for the issuance of Open End Wertpapiere
29.04.2014
30.04.2014
The Royal Bank of Scotland plc
Supplement
7th Supplement to Base Prospectus Bonus und Discount Zertifikate
30.04.2014
05.05.2014
The Royal Bank of Scotland plc
Supplement
3rd Supplement to Base Prospectus Rohstoffanleihen, Rohstoff-Terminkontraktanleihen, Indexanleihen,
Aktienanleihen
30.04.2014
05.05.2014
The Royal Bank of Scotland plc
Supplement
Supplements to various Base Prospectuses
30.04.2014
05.05.2014
UBS AG
Non-equity securities
Prospectus to up to 65,000 Strategy Certificates linked to the notional LGT FI Low Duration & Diversifier
Basket (EUR)
05.05.2014
05.05.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
30.04.2014
06.05.2014
CH0012032048
(to be continued)
DVR 0937487
Page 10 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Deutsche Pfandbriefbank AG
Base prospectus
Base Prospectus to Euro 50,000,000,000 Debt Issuance Programme (the *Programme*)
07.05.2014
07.05.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospectus to Zertifikate
02.05.2014
07.05.2014
Deutsche Börse Commodities
GmbH
Supplement
1st Supplement to Base Prospectus Programm für die Ausgabe von bis zu 10.000.000.000 Xetra-Gold
Inhaberschuldverschreibungen
07.05.2014
08.05.2014
Commerzbank AG
Non-equity securities
Prospectus to Fortsetzung des öffentl. Angebots -PWM Short- Indexzertifikate
05.05.2014
09.05.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus Emission von Zertifikaten, Optionsscheinen und Schuldverschreibungen
06.05.2014
09.05.2014
Vontobel Financial Products
GmbH
Supplement
Supplements to various Base Prospectuses
09.05.2014
09.05.2014
Commerzbank AG
Base prospectus
Base Prospectus to Unlimited Faktor-Indexzertifikaten (Futures-Kontrakte)
09.05.2014
13.05.2014
Commerzbank AG
Base prospectus
Base Prospectus to Discount-Zertifikate
07.05.2014
13.05.2014
Commerzbank AG
Base prospectus
Base Prospectus to Unlimited Faktor-Indexzertifikaten (Aktien)
09.05.2014
14.05.2014
Barclays Bank PLC
Base prospectus
Base Prospectus to RSSP H
13.05.2014
15.05.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Prospectus Optionsscheine
12.05.2014
15.05.2014
Vontobel Financial Products
GmbH
Supplement
Supplements to various Base Prospectuses
12.05.2014
15.05.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
14.05.2014
16.05.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus Programm für Emission von
Zertifikaten/Schuldverschreibungen/Bonitäts-Zertifikaten
14.05.2014
16.05.2014
Deutsche Bank AG
Supplement
Supplements to various 3partite Base Prospectuses
15.05.2014
16.05.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus Programm für die Emission von Schuldverschreibungen, Zertifikaten und
Optionsscheinen
14.05.2014
16.05.2014
Deutsche Bank AG
Supplement
9th Supplement to various 3partite Base Prospectuses
15.05.2014
16.05.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to various Base Prospectuses
12.05.2014
19.05.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various 3partite Base Prospectuses (english and german version)
12.05.2014
19.05.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectus
12.05.2014
19.05.2014
DE000CZ33FY8
(to be continued)
DVR 0937487
Page 11 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
12.05.2014
19.05.2014
ING Bank N.V.
Base prospectus
Base Prospectus to € 1,000,000,000 German Note Programme
20.05.2014
20.05.2014
Lang & Schwarz AG
Supplement
11th Supplement to Base Prospectus derivative Produkte
16.05.2014
20.05.2014
UBS AG
Supplement
Supplements to various 3partite Base Prospectuses
20.05.2014
20.05.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to öffentliches Angebots von Open End Wertpapieren unter dem Euro 50.000.000.000 Debt
Issuance Programme
19.05.2014
20.05.2014
ING Bank N.V.
Supplement
2nd Supplement to Base Prospectus €5,000,000,000 GERMAN NOTE PROGRAMME FOR SHARE AND
INDEX UNDERLYINGS
20.05.2014
21.05.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Schuldverschreibungen unter dem Euro 50.000.000.000 Debt Issuance Programme
21.05.2014
22.05.2014
Deutsche Bank AG
Supplement
Supplement to various Base Prospectuses
20.05.2014
23.05.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus to Programm für die Emission von Schuldverschreibungen, Zertifikaten und
Optionsscheinen
20.05.2014
23.05.2014
Deutsche Bank AG
Supplement
Supplement to Base Prospectus für Emission von Zertifikaten, Schuldverschreibungen und
Bonitäts-Zertifikaten
20.05.2014
23.05.2014
Deutsche Pfandbriefbank AG
Supplement
1st Supplement to Base Prospectus Euro 50,000,000,000 Debt Issuance Programme ("the Programme")
22.05.2014
23.05.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Prospectus Faktor-Zertifikate
21.05.2014
23.05.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
20.05.2014
26.05.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospectus to Wertpapiere
23.05.2014
26.05.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
27.05.2014
27.05.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospectus to Bonus-Wertpapiere bzw. Twin Win-Zertifikate
26.05.2014
27.05.2014
UniCredit Bank AG
Supplement
Supplements to various Base Prospectuses
27.05.2014
27.05.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
27.05.2014
28.05.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospectus to Wertpapiere mit einem vollständigen oder teilweisen Kapitalschutz
27.05.2014
30.05.2014
UniCredit Bank AG
Supplement
Supplements to various Base Prospectuses
28.05.2014
30.05.2014
HSH Nordbank AG
Base prospectus
Base Prospectus to EUR 35,000,000,000 Debt Issuance Programme for the Issue of Notes and Pfandbriefe
02.06.2014
02.06.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Wertpapieren mit Single-Basiswert (ohne Kapitalschutz) unter dem Euro 50.000.000.000
Debt Issuance Programme
02.06.2014
02.06.2014
(to be continued)
DVR 0937487
Page 12 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Bayerische Landesbank
Supplement
Supplements to various 3partite Base Prospectuses
30.05.2014
03.06.2014
Bayerische Landesbank
Supplement
Supplements to various Base Prospectuses
30.05.2014
03.06.2014
HSH Nordbank AG
Base prospectus
Base Prospectus to Indexbezogene Schuldverschreibungen begeben unter dem Programm zur Begebung von
Inhaberschuldverschreibungen, strukturierten Inhaberschuldverschreibungen und Pfandbriefen
03.06.2014
03.06.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Knock-out Securities and Warrants under the Euro 50,000,000,000 Debt Issuance
Programme
03.06.2014
03.06.2014
UBS AG
Base prospectus
Base Prospectus to Warrants
03.06.2014
04.06.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Prospectus relating to Faktor-Zertifikate
03.06.2014
04.06.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospectus für Optionsscheine und Turbo-Optionsscheine
02.06.2014
05.06.2014
UBS AG
Base prospectus
Base Prospectus to Emission von Wertpapieren
28.05.2014
05.06.2014
Credit Suisse AG
Supplement
Supplement to various Base Prospectuses
05.06.2014
06.06.2014
Commerzbank AG
Supplement
Supplements to various Base Prospectuses
02.06.2014
10.06.2014
Bayerische Landesbank
Base prospectus
Base Prospectus to Schuldverschreibungen mit Kapitalschutz
03.06.2014
11.06.2014
Commerzbank AG
Base prospectus
Base Prospectus to Reverse Bonus-Zertifikate
06.06.2014
11.06.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
05.06.2014
12.06.2014
Deutsche Pfandbriefbank AG
Supplement
2nd Supplement to Base Prospectus Euro 50,000,000,000 Debt Issuance Programme
04.06.2014
12.06.2014
Landesbank
Baden-Württemberg
Base prospectus
Base Prospectus to Angebotsprogramm zur Emission von basiswertabhängigen Zertifikaten
13.06.2014
13.06.2014
Landesbank
Baden-Württemberg
Base prospectus
Base Prospectus to Angebotsprogramm zur Emission von Derivativen Schuldverschreibungen
13.06.2014
13.06.2014
Landesbank
Baden-Württemberg
Base prospectus
Base Prospectus to Angebotsprogramm zur Emission von Schuldverschreibungen und Pfandbriefen
13.06.2014
13.06.2014
The Royal Bank of Scotland plc
Base prospectus
Base Prospectus to TURBO WARRANTS AND OPEN END TURBO WARRANTS
13.06.2014
16.06.2014
UniCredit Bank AG
Supplement
Supplement to Base Prospectus zur Begebung von Schuldverschreibungen unter dem Euro 50.000.000.000
Debt Issuance Programme
16.06.2014
16.06.2014
Vontobel Financial Products
GmbH
Base prospectus
Base Prospectus to Zertifikate
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
The Royal Bank of Scotland plc
Base prospectus
Base Prospectus to MINI FUTURE CERTIFICATES
12.06.2014
18.06.2014
Barclays Bank PLC
Base prospectus
Base Prospectus to RSSP BASISPROSPEKT F
16.06.2014
23.06.2014
Lang & Schwarz AG
Supplement
12th Supplement to Base Prospectus derivative Produkte
18.06.2014
23.06.2014
Lang & Schwarz AG
Base prospectus
Base Prospectus to derivative Produkte
16.06.2014
23.06.2014
Barclays Bank PLC
Supplement
Supplements to various Base Prospectuses
17.06.2014
24.06.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Participation Products (english and german version)
24.06.2014
24.06.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Fixed-Income-Products (english and german version)
24.06.2014
24.06.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Mini-Futures (english and german version)
24.06.2014
24.06.2014
IKB Deutsche Industriebank
Aktiengesellschaft
Supplement
3rd Supplement to Base Prospectus Debt Issuance Programme
24.06.2014
24.06.2014
UniCredit Bank AG
Supplement
Supplements to various Base Prospectuses
24.06.2014
24.06.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Complex Products with Full or Partial Capital Protection (english and german version)
24.06.2014
25.06.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Warrants (english and german version)
24.06.2014
25.06.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Renditeoptimierungs-Produkte/Yield Enchancement Products (english deutsch)
24.06.2014
25.06.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Wertpapiere mit Single-Basiswert (mit Kapitalschutz) unter dem Euro 50.000.000.000 Debt
Issuance Programme
17.06.2014
25.06.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Wertpapieren mit Multi-Basiswert (mit Kapitalschutz) unter dem Euro 50.000.000.000 Debt
Issuance Programme
26.06.2014
26.06.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Zertifikate und Anleihen
24.06.2014
27.06.2014
UBS AG
Supplement
Supplements to various Prospectuses
27.06.2014
27.06.2014
Goldman Sachs & Co.
Wertpapier GmbH
Base prospectus
Base Prospectus to Wertpapiere (begeben als Zertifikate, Anleihen und Optionsscheine)
27.06.2014
30.06.2014
HSH Nordbank AG
Supplement
1st Supplement to Base Prospectus EUR 35,000,000,000 Debt Issuance Programme for the Issue of Notes
and Pfandbriefe
27.06.2014
30.06.2014
WGZ Bank AG Westdeutsche
Genossenschafts-Zentralbank
Base prospectus
Base Prospectus to Schuldverschreibungen
27.06.2014
30.06.2014
WGZ Bank AG Westdeutsche
Genossenschafts-Zentralbank
Base prospectus
Base Prospectus to Aktien- und Indexanleihen und MiniMax- Indexanleihen bezogen auf Basiswerte
26.06.2014
30.06.2014
WGZ Bank AG Westdeutsche
Genossenschafts-Zentralbank
Base prospectus
Base Prospectus to Express-Zertifikate mit Rückzahlungsart Zahlung bezogen auf Basiswerte (Aktien oder
Indizes)
26.06.2014
30.06.2014
(to be continued)
DVR 0937487
Page 14 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
WGZ Bank AG Westdeutsche
Genossenschafts-Zentralbank
Base prospectus
Base Prospectus to Bonus- und Discount-Zertifikate
26.06.2014
30.06.2014
Goldman Sachs & Co.
Wertpapier GmbH
Base prospectus
Base Prospectus to Securities (issued in the form Certificates, Notes or Warrants)
27.06.2014
01.07.2014
The Royal Bank of Scotland plc
Base prospectus
Base Prospectus to Bonus und Discount Zertifikate
30.06.2014
02.07.2014
UBS AG
Base prospectus
Base Prospectus to Securities
30.06.2014
02.07.2014
Vontobel Financial Products
GmbH
Base prospectus
Base Prospectus to Open End Partizipationszertifikaten
30.06.2014
02.07.2014
Vontobel Financial Products
GmbH
Supplement
Supplements to various Base Prospectuses
01.07.2014
02.07.2014
Bayerische Landesbank
Supplement
Supplement to various Base Prospectuses
02.07.2014
03.07.2014
Bayerische Landesbank
Supplement
Supplements to various 3partite Base Prospectuses
02.07.2014
03.07.2014
Entrade Energiesysteme AG
Equity securities
Prospectus to das öffentliche Angebot von 6.075.000 auf den Inhaber lautende Stückaktien aus dem Eigentum
der Altaktionäre
24.10.2013
03.07.2014
Leonteq Securities AG (ehem.
EFG Financial Products AG)
Supplement
Supplement to Base Prospectus to Tracker Zertifikate und Open End Tracker Zertifikate
01.07.2014
03.07.2014
Leonteq Securities AG (ehem.
EFG Financial Products AG)
Supplement
Supplement to 3partite Base Prospectus to Europäisches Emissions- und Angebotsprogramm
01.07.2014
03.07.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Wertpapiere mit Multi-Basiswert (ohne Kapitalschutz) unter dem Euro 50.000.000.000
Debt Issuance Programme
03.07.2014
03.07.2014
Barclays Bank PLC
Base prospectus
Base Prospectus to RSSP Basisprospekt A
01.07.2014
08.07.2014
Lang & Schwarz AG
Supplement
13th Supplement to Base Prospectus derivative Produkte
04.07.2014
08.07.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Zertifikate und Anleihen
01.07.2014
10.07.2014
Deutsche Börse Commodities
GmbH
Non-equity securities
Prospectus to Programm für die Ausgabe von bis zu 10.000.000.000 Xetra-Gold®
Inhaberschuldverschreibungen
09.07.2014
10.07.2014
Societe Generale Effekten
GmbH
Base prospectus
Base Prospectus to Optionsscheine
10.07.2014
10.07.2014
Barclays Bank PLC
Supplement
Supplements to various Base Prospectuses
08.07.2014
11.07.2014
Leonteq Securities AG (ehem.
EFG Financial Products AG)
Base prospectus
Base Prospectus to Zertifikate
09.07.2014
11.07.2014
UBS AG
Non-equity securities
Prospectus to up to 65,000 Strategy Certificates linked to the notional LGT FI Low Duration & Diversifier
Basket (USD)
05.05.2014
15.07.2014
DE000ENTR863
DE000A0S9GB0
DE000US5F185
(to be continued)
DVR 0937487
Page 15 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
DE000US6GGP2
05.05.2014
15.07.2014
UBS AG
Non-equity securities
Prospectus to up to 65,000 Strategy Certificates linked to the notional LGT FI Low Duration & Diversifier
Basket (CHF)
Lang & Schwarz AG
Supplement
1st Supplement to Base Prospectus derivative Produkte
16.07.2014
17.07.2014
Commerzbank AG
Base prospectus
Base Prospectus to Unlimited Indexzertifikate
17.07.2014
18.07.2014
HSH Nordbank AG
Base prospectus
Base Prospectus to Bonitätsabhängige-Schuldverschreibungen begeben unter dem Programm zur Begebung
von Inhaberschuldverschreibungen, strukturierten Inhaberschuldverschreibungen und Pfandbriefen
18.07.2014
18.07.2014
UBS AG
Base prospectus
Base Prospectus to the Issuance of Fixed Income Securities (Cash)
17.07.2014
18.07.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Prospectus Faktor-Zertifikate
17.07.2014
18.07.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to various Base Prospectuses
16.07.2014
21.07.2014
Barclays Bank PLC
Base prospectus
Base Prospectus to RSSP Basisprospekt D
14.07.2014
21.07.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
16.07.2014
21.07.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Begebung von an Kreditrisiken gekoppelten Schuldverschreibungen unter dem
gemeinsamen Euro 10.000.000.000 Credit Linked Securities Programme aufgeteilt in Euro 7.000.000.000
Credit Linked Securities Programme und Euro 3.000.000.000 Credit Linked Securites Programme
18.07.2014
21.07.2014
Barclays Bank PLC
Base prospectus
Base Prospectus to RSSP Basisprospekt B
14.07.2014
22.07.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
16.07.2014
22.07.2014
UniCredit Bank Austria AG
Base prospectus
Base Prospectus to Begebung von an Kreditrisiken gekoppelten Schuldverschreibungen unter dem
gemeinsamen Euro 10.000.000.000 Credit Linked Securities Programme aufgeteilt in Euro 7.000.000.000
Credit Linked Securities Programme und Euro 3.000.000.000 Credit Linked Securities Programme
18.07.2014
22.07.2014
Commerzbank AG
Base prospectus
Base Prospectus to Unlimited [Easy] Faktor-Indexzertifikate
17.07.2014
23.07.2014
WGZ Bank AG Westdeutsche
Genossenschafts-Zentralbank
Base prospectus
Base Prospectus to Zertifikate
22.07.2014
24.07.2014
Barclays Bank PLC
Supplement
Supplement to various Base Prospectuses
23.07.2014
25.07.2014
Commerzbank AG
Base prospectus
Base Prospecuts to Strukturierte Zertifikate
18.07.2014
25.07.2014
WGZ Bank AG Westdeutsche
Genossenschafts-Zentralbank
Base prospectus
Base Prospectus to WGZ BANK Zertifikate
23.07.2014
25.07.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospecuts to Open End-Faktor-Partizipaationszertifikate
24.07.2014
28.07.2014
(to be continued)
DVR 0937487
Page 16 of
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Base prospectus
Base Prospectus to Debt Instruments Issuance Programme
18.07.2014
29.07.2014
Societe Generale Effekten
GmbH
Base prospectus
Base Prospectus to Debt Instruments Issuance Programme
18.07.2014
29.07.2014
The Royal Bank of Scotland plc
Supplement
1st Supplement to Base Prospectus Mini Future Certificates
25.07.2014
29.07.2014
The Royal Bank of Scotland plc
Supplement
1st Supplement to Base Prospectus Turbo Warrants and Open End Turbo Warrants
25.07.2014
29.07.2014
The Royal Bank of Scotland plc
Supplement
1st Supplement to Base Prospectus Bonus und Discount Zertifikate
25.07.2014
29.07.2014
Commerzbank AG
Base prospectus
Base Prospectus to Butterfly-Optionsscheine
18.07.2014
30.07.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
25.07.2014
31.07.2014
Credit Suisse AG
Supplement
9th Supplement to Base Prospectus Fixed Income Products (english and german version)
25.07.2014
31.07.2014
IBS GROUP HOLDING LIMITED
Equity securities
Prospectus to the public offering of 7,695,074 Class A ordinary shares
04.08.2014
04.08.2014
Bayerische Landesbank
Supplement
Supplements to various Base Prospectuses
04.08.2014
05.08.2014
Bayerische Landesbank
Supplement
2nd Supplement to various 3partite Base Prospectuses
05.08.2014
05.08.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
01.08.2014
05.08.2014
Deutsche Bank AG
Supplement
Supplements to various 3partite Base Prospectuses
01.08.2014
05.08.2014
Landesbank
Baden-Württemberg
Base prospectus
Base Prospectus to ein Angebotsprogramm zur Emission von kreditereignisabhängigen
Schuldverschreibungen
05.08.2014
05.08.2014
The Royal Bank of Scotland plc
Supplement
2nd Supplement to Base Prospectus Turbo Warrants and Open End Turbo Warrants
01.08.2014
06.08.2014
The Royal Bank of Scotland plc
Supplement
2nd Supplement to Base Prospectus Bonus und Discount Zertifikate
01.08.2014
06.08.2014
The Royal Bank of Scotland plc
Supplement
2nd Supplement to Base Prospectus Mini Futures Certificates
01.08.2014
06.08.2014
Berlin Hyp AG
Supplement
2nd Supplement to Base Prospectus Schuldverschreibungen und Pfandbriefe unter dem € 25,000,000,000
Offering Programme
08.08.2014
08.08.2014
Credit Suisse AG
Base prospectus
Base Prospectus to Bonus Cap Garant Wertpapiere
07.08.2014
08.08.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Wertpapieren mit Single-Basiswert (ohne Kapitalschutz) unter dem Euro 50.000.000.000
Debt Issuance Programme
30.07.2014
08.08.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
04.08.2014
11.08.2014
UBS AG
Supplement
Supplements to various Base Prospectuses
11.08.2014
11.08.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Supplement
Supplements to various Base Prospectuses
08.214
SG ISSUER S.A.
12.08.2014
(to be continued)
DVR 0937487
Page 17 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Finanzprodukte GmbH)
Credit Suisse AG
Supplement
2nd Supplement to various Base Prospectuses
07.08.2014
12.08.2014
Credit Suisse AG
Supplement
10th Supplement to Base Prospectus Fixed Income Products (english and german version)
07.08.2014
12.08.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
08.08.2014
12.08.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various 3partite Base Prospectuses
08.08.2014
12.08.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplement to various 3partite Base Prospectuses
08.08.2014
12.08.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
08.08.2014
12.08.2014
ING Bank N.V.
Supplement
1st Supplement to Base Prospectus German Note Programme
11.08.2014
12.08.2014
ING Bank N.V.
Supplement
3rd Supplement to Base Prospectus German Note Programme for share and index underlyings
11.08.2014
12.08.2014
Commerzbank AG
Supplement
1st Supplement to Base Prospectus Unlimited [Easy] Faktor-Indexzertifikate
12.08.2014
13.08.2014
Lang & Schwarz AG
Supplement
2nd Supplement to Base Prospectus derivative Produkte
12.08.2014
14.08.2014
Royal Bank of Canada
Supplement
Supplement to Base Prospectus Zertifikate
13.08.2014
14.08.2014
Goldman Sachs & Co.
Wertpapier GmbH
Base prospectus
Base Prospectus to Securities (issued in the form of Certificates, Notes or Warrants
11.08.2014
18.08.2014
Goldman Sachs & Co.
Wertpapier GmbH
Base prospectus
Base Prospectus to Wertpapiere (begeben als Zertifikate, Anleihen und Optionsscheine
11.08.2014
18.08.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
14.08.2014
21.08.2014
IBS GROUP HOLDING LIMITED
Supplement
1st Supplement to Prospectus the public offering of 7,695,074 Class A ordinary shares
20.08.2014
21.08.2014
Deutsche Bank AG
Base prospectus
Base Prospectus to Programm für die Emission von Zertifikaten, Optionsscheinen und Schuldverschreibungen
18.08.2014
22.08.2014
Vontobel Financial Products
GmbH
Base prospectus
Base Prospectus to Partizipationszertifikate und Open-End Partizipationszertifikate
22.08.2014
22.08.2014
Bayerische Landesbank
Supplement
Supplement to various 3partite Base Prospectuses
21.08.2014
26.08.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Base prospectus
Base Prospectus to GS PB Vorsorgezertifikate Typ R - 2015/2020/2025/2030/2035/2040 (relating to AT)
27.08.2014
27.08.2014
AVK
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Bayerische Landesbank
Supplement
Supplement to various Base Prospectuses
21.08.2014
27.08.2014
UBS AG
Supplement
Supplements to various Prospectuses
25.08.2014
27.08.2014
Commerzbank AG
Supplement
Supplement to various Base Prospectuses
25.08.2014
28.08.2014
Commerzbank AG
Supplement
1st Supplement to Prospectus dated 05.05.2014
25.08.2014
28.08.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to Various Base Prospectuses
27.08.2014
29.08.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
29.08.2014
29.08.2014
Commerzbank AG
Supplement
3rd Supplement to Base Prospectus Unlimited (Easy) Faktor-Indexzertifikate
29.08.2014
01.09.2014
Deutsche Pfandbriefbank AG
Supplement
Supplement to Base Prospectus Euro 50,000,000,000 Debt Issuance Programme
15.08.2014
01.09.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Prospectus für Faktor-Zertifikate
29.08.2014
01.09.2014
Eyemaxx Real Estate AG
Non-equity securities
Prospectus to 8,00 %-Anleihe 2014/2020 (5,5 Jahre)
01.09.2014
02.09.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospectus to Wertpapiere mit einem vollständigen oder teilweisen Kapitalschutz,
Kapitalschutz-Wertpapiere, American Synthetic Convertible Garant Anleihen, Ikarus Anleihen
29.08.2014
03.09.2014
Lang & Schwarz AG
Supplement
3rd Supplement to Base Prospectus derivative Produkte
03.09.2014
05.09.2014
Vontobel Financial Products
GmbH
Supplement
1st Supplement to Base Prospectus Partizipationszertifikate und Open-End Partizipationszertifikate
08.09.2014
09.09.2014
BNP Paribas Emissions- und
Handelsgesellschaft mbH
Base prospectus
Base Prospectus to Kreditereignisabhängigen Schuldverschreibungen
10.09.2014
11.09.2014
UBS AG
Base prospectus
Base Prospectus to up to 600,000 apano 3 Anlageklassen-Zertifikate linked to a portfolio of indices comprising
(1) the S&P Europe 350 Daily Risk Control 10% Excess Return (EUR) Index, (2) the iBoxx Euro Index
Germany Sovereigns 5 to 7 years and (3) the UBS Bloomberg CMCI Gold T15 ER Index
12.09.2014
12.09.2014
Barclays Bank PLC
Supplement
Supplements to various Base Prospectuses
12.09.2014
Societe Generale Effekten
GmbH
Base prospectus
Base Prospectus to Zertifikate
12.09.2014
15.09.2014
UBS AG
Base prospectus
Base Prospectus to up to 1,000,000 Leverage Certificates Short (open end) linked to the UBS Rolling Duration
Index EUR 5y
11.09.2014
15.09.2014
15.0924
DE000A12T374
(to be continued)
DVR 0937487
Page 19 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
UBS AG
Base prospectus
Base Prospectus to up to 1,000,000 Leverage Certificates Short (open end) linked to the UBS Rolling Duration
Index CHF 5y
11.09.2014
16.09.2014
The Royal Bank of Scotland plc
Supplement
3rd Supplement to MINI FUTURE CERTIFICATES
16.09.2014
19.09.2014
The Royal Bank of Scotland plc
Supplement
3rd Supplement to Base Prospectus TURBO WARRANTS AND OPEN END TURBO WARRANTS
16.09.2014
19.09.2014
Leonteq Securities AG (ehem.
EFG Financial Products AG)
Base prospectus
Base Prospectus to Tracker Zertifikate und Open End Tracker Zertifikate
17.09.2014
22.09.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Prospectus Faktor-Zertifikate
18.09.2014
22.09.2014
Commerzbank AG
Supplement
4th Supplement to Base Prospectus Unlimited [Easy] Faktor-Indexzertifikate
18.09.2014
23.09.2014
HSH Nordbank AG
Supplement
2nd Supplement to Base Prospectus EUR 35,000,000,000 Debt Issuance Programme for the Issue of Notes
and Pfandbriefe
22.09.2014
24.09.2014
The Royal Bank of Scotland plc
Supplement
3rd Supplement to Base Prospectus Bonus und Discount Zertifikate
22.09.2014
25.09.2014
UBS AG
Supplement
5th Supplement to Base Prospectus UBS Performance Securities
24.09.2014
26.09.2014
SGL Carbon SE
Equity securities
Prospectus to the public offering in Germany and Austria of 20,180,000 new ordinary bearer shares
29.09.2014
29.09.2014
Lang & Schwarz AG
Supplement
4th Supplement to Base Prospectus derivative Produkte
29.09.2014
30.09.2014
BNP Paribas Emissions- und
Handelsgesellschaft mbH
Base prospectus
Base Prospectus to Wertpapieren (Anleihen und Zertifikate)
22.09.2014
01.10.2014
The Royal Bank of Scotland plc
Supplement
4th Supplement to Base Prospectus MINI Future Certificates
30.09.2014
01.10.2014
The Royal Bank of Scotland plc
Supplement
4th Supplement to Base Prospectus Bonus und Discount Zertifikate
30.09.2014
01.10.2014
The Royal Bank of Scotland plc
Supplement
4th Supplement to Base Prospectus Turbo Warrants and Open End Turbo Warrants
30.09.2014
01.10.2014
UBS AG
Supplement
Supplements to various Base Prospectuses
29.09.2014
02.10.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Zertfikate
02.10.2014
06.10.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to an Kreditrisiken gekoppelten Schuldverschreibungen unter dem gemeinsamen Euro
10.000.000.000 Credit Linked Securities Programme
06.10.2014
06.10.2014
Commerzbank AG
Supplement
5th Supplement to Base Prospectus Strukturierte Zertifikate
06.10.2014
07.10.2014
WGZ Bank AG Westdeutsche
Genossenschafts-Zentralbank
Supplement
1st Supplement to Base Prospectus Express-Zertifikate mit Rückzahlungsart Zahlung bezogen auf Basiswerte
(Aktien oder Indizes)
02.10.2014
08.10.2014
Portfolio Solutions S.A.
Base prospectus
Base Prospectus to Performance Tracker Certificates
06.10.2014
09.10.2014
UniCredit Bank Austria AG
Base prospectus
Base Prospectus to zur Begebung von an Kreditrisiken gekoppelten Schuldverschreibungen unter dem
06.10.2014
DVR 0937487
DE0007235301
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
08.10.2014
09.10.2014
10.10.2014
10.10.2014
gemeinsamen Euro 10.000.000.000 Credit Linked Securities Programme
Vontobel Financial Products
GmbH
Supplement
2nd Supplement to Base Prospectus Partizipationszertifikate und Open-End Partizipationszertifikate
IBS GROUP HOLDING LIMITED
Equity securities
Prospectus to the public offering in Germany and Austria of 8,003,828 Class A ordinary shares of Luxoft
Holding, Inc pursuant to the German Securities Prospectus Act
Lang & Schwarz AG
Supplement
5th Supplement to Base Prospectus derivative Produkte
14.10.2014
15.10.2014
Commerzbank AG
Base prospectus
Base Prospectus to Unlimited-Zertifikate bezogen auf Silber
15.10.2014
16.10.2014
UniCredit Bank AG
Supplement
Supplement to Base Prospectus Schuldverschreibungen unter dem Euro 50.000.000.000 Debt Issuance
Programme
16.10.2014
16.10.2014
HSH Nordbank AG
Base prospectus
Base Prospectus to über verzinsliche und strukturiert verzinsliche Schuldverschreibungen und Pfandbriefe
02.06.2014
20.10.2014
Societe Generale Effekten
GmbH
Base prospectus
Base Prospectus to Anleihen
20.10.2014
20.10.2014
HSBC Trinkaus & Burkhardt AG
Supplement
Supplement to Base Prospectus Open End-Faktor-Partizipationszertifikate
17.10.2014
22.10.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
Supplements to various Base Prospectuses
21.10.2014
23.10.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
21.10.2014
23.10.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
2nd Supplement to Base Prospectus Securities (issued in the form of Certificates, Notes or Warrants)
21.10.2014
23.10.2014
Commerzbank AG
Base prospectus
Base Prospectus to Strukturierte Zertifikate
21.10.2014
24.10.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Zertifikate
23.10.2014
27.10.2014
Vontobel Financial Products
GmbH
Base prospectus
Base Prospectus to Zinsanleihen und Bonitätsanleihen
27.10.2014
27.10.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Renditzertifikate
23.10.2014
28.10.2014
Barclays Bank PLC
Base prospectus
Base Prospectus to PROSPER BASISPROSPEKT A
27.10.2014
29.10.2014
The Royal Bank of Scotland plc
Supplement
5th Supplement to Base Prospectus Bonus und Discount Zertifikate
27.10.2014
29.10.2014
The Royal Bank of Scotland plc
Supplement
5th Supplement to Base Prospectus Turbo Warrants and Open End Turbo Warrants
27.10.2014
29.10.2014
The Royal Bank of Scotland plc
Supplement
5th Supplement to Base Prospectus MINI Future Certificates
27.10.2014
29.10.2014
VGG572791041
(to be continued)
DVR 0937487
Page 21 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
04.11.2014
06.11.2014
07.11.2014
07.11.2014
WGZ Bank AG Westdeutsche
Genossenschafts-Zentralbank
Supplement
1st Supplement to Base Prospectus Schuldverschreibungen
German Pellets GmbH
Non-equity securities
3partite Prospectus to das öffentliche Angebot von EUR 100.000.000 mit Aufstockungsmöglichkeit um bis zu
EUR 30.000.000 auf bis zu EUR 130.000.000 7,25 % Schuldverschreibungen 2014/2019
HSH Nordbank AG
Supplement
3rd Supplement to Base Prospectus EUR 35,000,000,000 Debt Issuance Programme for the Issue of Notes
and Pfandbriefe
05.11.2014
07.11.2014
HSH Nordbank AG
Supplement
Supplements to various Base Prospectuses
05.11.2014
07.11.2014
The Royal Bank of Scotland plc
Supplement
6th Supplement to Base Prospectus MINI Future Certificates
05.11.2014
07.11.2014
The Royal Bank of Scotland plc
Supplement
6th Supplement to Base Prospectus Bonus und Discount Zertifikate
05.11.2014
07.11.2014
The Royal Bank of Scotland plc
Supplement
6th Supplement to Base Prospectus Turbo Warrants and Open End Turbo Warrants
05.11.2014
07.11.2014
AVK Altersvorsorgekonto
Emissionsgesellschaft mbH
(vormals Goldman Sachs
Finanzprodukte GmbH)
Supplement
2nd Supplement to various Base Prospectuses
05.11.2014
10.11.2014
Credit Suisse AG
Supplement
3rd Supplement to various Base Prospectuses (german and english version)
06.11.2014
10.11.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
Supplements to various Base Prospectuses
05.11.2014
10.11.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
3rd Supplement to Base Prospectus Securities (issued in the form of Certificates, Notes or Warrants)
05.11.2014
10.11.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospectus to Discount-Zertifikate bzw. Reverse-Discount-Zertifikate und Anleihen bzw.
Reverse-Anleihen
06.11.2014
10.11.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Wertpapieren mit Multi-Basiswert (mit Kapitalschutz) unter dem Euro 50.000.000.000 Debt
Issuance Programme
07.11.2014
10.11.2014
ING Bank N.V.
Supplement
2nd Supplement to Base Prospectus € 1,000,000,000 German Note Programme
10.11.2014
11.11.2014
ING Bank N.V.
Supplement
4th Supplement to Base Prospectus € 5,000,000,000 German Note Programme for share and index
underlyings
10.11.2014
11.11.2014
Portfolio Solutions S.A.
Supplement
1st Supplement to Base Prospectus for the issuance of Performance Tracker Certificates
10.11.2014
11.11.2014
Commerzbank AG
Base prospectus
Base Prospectus to Unlimited apo Generika Select Indexzertifikate
06.11.2014
12.11.2014
Royal Bank of Canada
Supplement
Supplement to Base Prospectus Zertifikate
11.11.2014
12.11.2014
UniCredit Bank AG
Supplement
Supplement to Base Prospectus zur Begebung von Knock-out Wertpapieren und Optionsscheinen unter dem
Euro 50.000.000.000 Debt Issuance Programme
11.11.2014
12.11.2014
UniCredit Bank AG
Supplement
DVR 0937487
DE000A13R5N7
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
50,000,000,000 Debt Issuance Programme
Bayerische Landesbank
Base prospectus
Base Prospectus to Pfandbriefe und Standardschuldverschreibungen (mit Kapitalschutz)
13.11.2014
14.11.2014
Credit Suisse AG
Supplement
Supplements to various Base Prospectuses
11.11.2014
17.11.2014
BNP Paribas Emissions- und
Handelsgesellschaft mbH
Base prospectus
Base Prospectus to Express-Zertifikaten
17.11.2014
18.11.2014
Commerzbank AG
Base prospectus
Base Prospectus to Unlimited-Zertifikate
11.11.2014
18.11.2014
Lang & Schwarz AG
Supplement
6th Supplement to Base Prospectus derivative Produkte
13.11.2014
18.11.2014
The Royal Bank of Scotland plc
Supplement
7th Supplement to Base Prospectus TURBO WARRANTS AND OPEN END TURBO WARRANTS
14.11.2014
18.11.2014
The Royal Bank of Scotland plc
Supplement
7th Supplement to Base Prospectus MINI FUTURE CERTIFICATE
14.11.2014
18.11.2014
Berlin Hyp AG
Supplement
3rd Supplement to Base Prospectus € 25,000,000,000 Offering Programme for Schuldverschreibungen und
Pfandbriefe
12.11.2014
19.11.2014
Commerzbank AG
Base prospectus
Base Prospectus to [zur Fortsetzung des öffentlichen Angebotes][zur Erhöhung des Emissionsvolumens
bereits begebener Wertpapiere]
18.11.2014
19.11.2014
Commerzbank AG
Supplement
Supplements to various Base Prospectuses
17.11.2014
19.11.2014
The Royal Bank of Scotland plc
Supplement
7th Supplement to Base Prospectus Bonus und Discount Zertifikate
18.11.2014
19.11.2014
HSBC Trinkaus & Burkhardt AG
Base prospectus
Base Prospectus to Optionsscheine
18.11.2014
20.11.2014
Commerzbank AG
Supplement
1st Supplement to Base Prospectus Unlimited-Zertifikate
20.11.2014
21.11.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Zertifikate
18.11.2014
21.11.2014
Barclays Bank PLC
Supplement
Supplements to various Base Prospectuses
17.11.2014
25.11.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Anleihen
19.11.2014
25.11.2014
UBS AG
Supplement
Supplements to various Base Prospectuses
24.11.2014
25.11.2014
UBS AG
Supplement
6th Supplement to Base Prospectus Performance Securities
19.11.2014
25.11.2014
Bayerische Landesbank
Supplement
Supplements to various Base Prospectuses
17.11.2014
26.11.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
24.11.2014
27.11.2014
Commerzbank AG
Base prospectus
Base Prospectus to Optionsscheine
27.11.2014
28.11.2014
UBS AG
Non-equity securities
3partite Prospectus to up to 500,000 UBS Open End Certificates linked to the UBS Risk Adjusted Dynamic
Alpha (RADA) Net Total Return Index (EUR) on DAX®
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Barclays Bank PLC
Supplement
Supplement to various Base Prospectuses
28.11.2014
02.12.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Optionsscheine
27.11.2014
02.12.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Zertifikate
26.11.2014
03.12.2014
UBS AG
Supplement
1st Supplement to 3partite Base Prospectus for the issuance of up to 600,000 apano 3
Anlageklassen-Zertifikate
03.12.2014
04.12.2014
Vontobel Financial Products
GmbH
Base prospectus
Base Prospectus to Faktor-Zertifikate
04.12.2014
05.12.2014
Vontobel Financial Products
GmbH
Base prospectus
Base Prospectus to Hebelprodukte
04.12.2014
05.12.2014
Commerzbank AG
Supplement
Supplements to various Base Prospectuses
08.12.2014
09.12.2014
Lang & Schwarz AG
Supplement
7th Supplement to Base Prospectus derivative Produkte
05.12.2014
09.12.2014
Vontobel Financial Products
GmbH
Supplement
Supplements to various Base Prospectuses
09.12.2014
11.12.2014
Commerzbank AG
Base prospectus
Base Prospectus to Strukturierte Zertifikate
08.12.2014
12.12.2014
IKB Deutsche Industriebank
Aktiengesellschaft
Supplement
4th Supplement to Base Prospectus Debt Issuance Programme
11.12.2014
12.12.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Propectus Faktor-Zertifikate
11.12.2014
16.12.2014
Vontobel Financial Products
GmbH
Supplement
Supplement to Base Prospectus Faktor-Zertifikate
15.12.2014
16.12.2014
Landesbank
Baden-Württemberg
Base prospectus
Base Prospectus über ein Angebotsprogramm zur Emission von basiswertabhängigen Schuldverschreibungen
und Zertifikaten
15.12.2014
17.12.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Begebung von Wertpapieren mit Multi-Basiswert (ohne Kapitalschutz) unter dem Euro
50.000.000.000 Debt Issuance Programme
17.12.2014
17.12.2014
Commerzbank AG
Base prospectus
Base Prospectus to Fortsetzung des öffentlichen Angebots von Unlimited-Zertifikaten
18.12.2014
19.12.2014
Deutsche Bank AG
Base prospectus
Base Prospectus to das Angebot von [An einen Basket gebundenen Zertifikaten] [Endlos-Zertifikaten]
[Index-Zertifikaten] [X-Pert-Zertifikaten]
04.12.2014
19.12.2014
Deutsche Bank AG
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Portfolio Solutions S.A.
Base prospectus
Base Prospectus to Performance Tracker Certificates
18.12.2014
22.12.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Wertpapieren mit Single-Basiswert (mit Kapitalschutz) unter dem Euro 50.000.000.000
Debt Issuance Programme
19.12.2014
22.12.2014
HSH Nordbank AG
Supplement
4th Supplement to Base Prospectus EUR 35,000,000,000 Debt Issuance Programme for the Issue of Notes
and Pfandbriefe
22.12.2014
23.12.2014
Deutsche Bank AG
Supplement
Supplements to various Base Prospectuses
23.12.2014
29.12.2014
Date of prospectus
Received
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
CSSF - Commission de surveillance du secteur financier (LU)
Morgan Stanley
Supplement
Supplement to various Base Prospectuses
20.12.2013
03.01.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus to Commodity and Currency linked Notes and Certificates under the Euro
2,000,000,000 German Programme for Medium Term Notes and Certificates
20.12.2013
03.01.2014
Deutsche Bank AG
Supplement
6th Supplement to Euro 80,000,000,000 Debt Issuance Programme
07.01.2014
08.01.2014
Aareal Bank AG
Supplement
2nd Supplement to Euro 15,000,000,000 Debt Issuance Programme
09.01.2014
09.01.2014
Supplement
2nd Supplement to Euro 15,000,000,000 Debt Issuance Programme
09.01.2014
09.01.2014
ThyssenKrupp AG
Base prospectus
Base Prospectus to € 10,000,000,000 Debt Issuance Programme
10.01.2014
10.01.2014
Societe Generale
Supplement
Supplement to € 125.000.000.000 Debt Instruments Issuance Programme
10.01.2014
14.01.2014
Societe Generale
Supplement
Supplement to Base Prospectus to € 125.000.000.000 Debt Instruments Issuance Programme
15.11.2013
14.01.2014
CREDIT AGRICOLE
CORPORATE AND
INVESTMENT BANK
Supplement
6th Supplement to €50,000,000,000 Structured Euro Medium Term Note Programme
15.01.2014
16.01.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
9th Supplement to the Programme for the issuance of Warrants, Notes and Certificates
17.01.2014
17.01.2014
Palladium Securities 1 S.A.
Supplement
Supplement to the Programme for the issuance of Secured Notes
16.01.2014
17.01.2014
Raiffeisenlandesbank
Niederösterreich-Wien AG
Supplement
4th Supplement to EUR 5,000,000,000 Debt Issuance Programme
17.01.2014
17.01.2014
The Goldman Sachs Group, Inc
Supplement
6th Supplement to Euro Medium-Term Notes, Series F Subordinated Euro Medium-Term Notes, Series G
17.01.2014
17.01.2014
Bayer AG
Supplement
4th Supplement to €10,000,000,000 Programme for the Issuance of Debt Instruments
20.01.2014
20.01.2014
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Societe Generale
Supplement
Supplement to Base Prospectus €125.000.000.000 Debt Instruments Issuance Programme
22.01.2014
22.01.2014
J.P. Morgan Structured Products
B.V.
Supplement
7th Supplement to Base Prospectus Structured Securities Programme for the issuance of Notes, Warrants and
Certificates
24.01.2014
27.01.2014
UniCredit Bank AG
Supplement
Supplement to Base Prospectus Wertpapiere unter dem Euro 50.000.000.000 Debt Issuance Programme
27.01.2014
27.01.2014
Citigroup Inc.
Supplement
5th Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
28.01.2014
28.01.2014
LANXESS AG
Supplement
3rd Supplement to Base Prospectus EUR 2,500,000,000 Programme for the Issuance of Debt Instruments
28.01.2014
28.01.2014
RWE AG
Supplement
3rd Supplement to Base Prospectus €30,000,000,000 Debt Issuance Programme
30.01.2014
30.01.2014
O2 Telefonica Deutschland
Finanzierungs GmbH
Non-equity securities
Prospectus to € [*] [*] per cent Notes due 2021
30.01.2014
31.01.2014
Raiffeisen Bank International AG
Supplement
4th Supplement to 3partite Base Prospectus EUR 25,000,000,000 Debt Issuance Programme
31.01.2014
31.01.2014
Siemens AG
Supplement
3rd Supplement to Base Prospectus €15,000,000,000 Programme for the Issuance of Debt Instruments
04.02.2014
04.02.2014
Landesbank
Baden-Württemberg
Supplement
1st Supplement to Base Prospectus Euro 50,000,000,000 Programme for the Issuance of Debt Securities
05.02.2014
05.02.2014
EVONIK INDUSTRIES AG
Base prospectus
Base Prospectus to EUR 3,000,000,000 Debt Issuance Programme
06.02.2014
06.02.2014
National Australia Bank Limited
Supplement
1st Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
11.02.2014
11.02.2014
Neue ZWL Zahnradwerk Leipzig
GmbH
Non-equity securities
Prospectus to Emission von bis zu EUR 25.000.000 7,50% Schuldverschreibungen 2014 / 2019
10.02.2014
11.02.2014
Raiffeisen Bank International AG
Supplement
5th Supplement to 3partite Base Prospectus EUR 25,000,000,000 Debt Issuance Programme
11.02.2014
11.02.2014
Deutsche Bank AG
Supplement
7th Supplement to Euro 80,000,000,000 Debt Issuance Programme
12.02.2014
12.02.2014
Grenke AG (vormals
Grenkeleasing AG)
Base prospectus
Base Prospectus to € 1,250,000,000 Debt Issuance Programme
13.02.2014
13.02.2014
HYPO NOE Gruppe Bank AG
(formerly Hypo Investmentbank
AG)
Supplement
3rd Supplement to Base Prospectus Euro 4,000,000,000 Debt Issuance Programme for the issue of the Notes
(including Pfandbriefe and fundierte Bankschuldverschreibungen)
12.02.2014
13.02.2014
OTTO (GmbH & CO KG)
Supplement
1st Supplement to Base Prospectus € 2,000,000,000 Debt Issuance Programme
14.02.2014
14.02.2014
TE Connectivity Ltd. (ehem.Tyco
Electronics Ltd.)
Supplement
Supplement to Prospectus to Offer of Shares under the Employee Stock Purchase Plan
14.02.2014
14.02.2014
HYPO NOE Gruppe Bank AG
(formerly Hypo Investment
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
ThyssenKrupp AG
Supplement
1st Supplement to Base Prospectus € 10,000,000,000 Debt Issuance Programme
18.02.2014
18.02.2014
Vorarlberger Landes- und
Hypothekenbank
Aktiengesellschaft
Supplement
2nd Supplement to Base Prospectus EUR 7,000,000,000 Debt Issuance Programme
18.02.2014
18.02.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to EUR 10.000.000.000 für Credit Linked Schuldverschreibungen mit einem Referenzland
oder mehreren Referenzländern und Andienung/Andienungsersatzbetrag oder Fixem oder Variablem
Abwicklungsbetrag
24.02.2014
25.02.2014
Hella KGaA Hueck & Co.
Non-equity securities
Prospectus to Euro-denominated Fixed Rate Notes due 7 September 2017
25.02.2014
25.02.2014
National Australia Bank Limited
Supplement
2nd Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
24.02.2014
25.02.2014
HYPO NOE Gruppe Bank AG
(formerly Hypo Investmentbank
AG)
Supplement
5th Supplement to Base Prospectus Euro 5,500,000,000 Debt Issuance Programme for the issue of the Notes
(including Pfandbriefe and fundierte Bankschuldverschreibungen)
26.02.2014
26.02.2014
Deutsche Bank AG
Supplement
8th Supplement to Base Prospectus Euro 80,000,000,000 Debt Issuance Programme
26.02.2014
27.02.2014
Banca Comerciala Romana S.A.
Base prospectus
Base Prospectus to Issuance of Equity Linked Notes
28.02.2014
28.02.2014
Vorarlberger Landes- und
Hypothekenbank
Aktiengesellschaft
Supplement
3rd Supplement to Base Prospectus EUR 7,000,000,000 Debt Issuance Programme
27.02.2014
28.02.2014
Aareal Bank AG
Supplement
3rd Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
03.03.2014
03.03.2014
BASF SE
Supplement
2nd Supplement to Base Prospectus EUR 15,000,000,000 Debt Issuance Program
28.02.2014
03.03.2014
Supplement
3rd Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
03.03.2014
03.03.2014
GEWA 5 to 1 GmbH & Co. KG
Non-equity securities
Prospectus to Emission von bis zu EUR 35 Mio. 6,5 % Schuldverschreibungen 2014/2018
04.03.2014
04.03.2014
Societe Generale
Supplement
Supplement to Base Prospectus € 125.000.000.000 Debt Instruments Issuance Programme
25.02.2014
04.03.2014
Non-equity securities
Prospectus to Emission von bis zu EUR 35 Mio. 6,5 % Schuldverschreibungen 2014/2018
04.03.2014
04.03.2014
The Goldman Sachs Group, Inc
Supplement
7th Supplement to Base Prospectus Euro Medium-Term Notes, Series F Subordinated Euro Medium-Term
Notes, Series G
07.03.2014
07.03.2014
EnBW Energie
Baden-Württemberg AG
Non-equity securities
Prospectus to EUR [*] Subordinated Resettable Fixed Rate Notes due 2076
10.03.2014
10.03.2014
Heineken N.V.
Base prospectus
Base Prospectus to €10,000,000,000 Euro Medium Term Note Programme
07.03.2014
10.03.2014
Exane Finance
Supplement
2nd Supplement to Base Prospectus Debt Securities Issue Programme
11.03.2014
11.03.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
10th Supplement to Base Prospectus to the Programme for the issuance of Warrants, Notes and Certificates
10.03.2014
11.03.2014
XS1044811591
(to be continued)
DVR 0937487
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Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Palladium Securities 1 S.A.
Supplement
Supplement to Base Prospectus Programme for the issuance of Secured Notes
12.03.2014
12.03.2014
J.P. Morgan Structured Products
B.V.
Supplement
8th Supplement to Base Prospectus Structured Securities Programme for the issuance of Notes, Warrants and
Certificates
12.03.2014
13.03.2014
Aareal Bank AG
Non-equity securities
Prospectus to Euro 300,000,000 Subordinated Callable Fixed Rate Reset Notes with scheduled maturity in
2026
14.03.2014
14.03.2014
Citigroup Inc.
Supplement
6th Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
13.03.2014
14.03.2014
mFinance France S.A.
Base prospectus
Base Prospectus to €3,000,000,000 Euro Medium Term Note Programme
14.03.2014
14.03.2014
Non-equity securities
Prospectus to Euro 300,000,000 Subordinated Callable Fixed Rate Reset Notes with scheduled maturity in
2026
14.03.2014
14.03.2014
UniCredit Bank Austria AG
Supplement
3rd Supplement to €40,000,000,000 Euro Medium Term Note Programme for the issue of Notes including
Pfandbriefe, Jumbo-Pfandbriefe and Covered Bank Bonds
14.03.2014
17.03.2014
Volkswagen AG
Supplement
4th Supplement to Base Prospectus € 25,000,000,000 Debt Issuance Programme
14.03.2014
17.03.2014
mFinance France S.A.
Supplement
Supplement to Base Prospectus €3,000,000,000 Euro Medium Term Note Programme
18.03.2014
18.03.2014
UniCredit Bank Austria AG
Supplement
4th Supplement to Base Prospectus to €40,000,000,000 Euro Medium Term Note Programme for the issue of
Notes including Pfandbriefe, Jumbo-Pfandbriefe and Covered Bank Bonds
18.03.2014
18.03.2014
Volkswagen AG
Non-equity securities
Prospectus to EUR 1,250,000,000 Undated Subordinated Notes subject to Interest Rate Reset with a First Call
Date in 2021 and EUR 1,750,000,000 Undated Subordinated Notes subject to Interest Rate Reset with a First
Call Date in 2026
18.03.2014
18.03.2014
Bayer AG
Base prospectus
Base Prospectus to €15,000,000,000 Programme for the Issuance of Debt Instruments
19.03.2014
20.03.2014
Dürr Aktiengesellschaft
Non-equity securities
Prospectus to EUR [* ] [*] per cent fixed rate notes due 2021, issue price: [*] per cent
21.03.2014
21.03.2014
Raiffeisen Bank International AG
Supplement
6th Supplement to 3partite Base Prospectus EUR 25,000,000,000 Debt Issuance Programme
20.03.2014
21.03.2014
Roche Finance Europe B.V.
Base prospectus
Base Prospectus to EUR 15,000,000,000 Euro Medium Term Note Programme
21.03.2014
21.03.2014
Societe Generale
Supplement
Supplement to Base Prospectus € 125.000.000.000 Debt Instruments Issuance Programme
17.03.2014
21.03.2014
UniCredit S.p.A.
Supplement
3rd Supplement to Base Prospectus €60,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
20.03.2014
21.03.2014
Volkswagen Bank GmbH
Supplement
2nd Supplement to Base Prospectus EUR 10,000,000,000 Debt Issuance Programme
21.03.2014
24.03.2014
Volkswagen Financial Services
Aktiengesellschaft
Supplement
4th Supplement to Base Prospectus EUR 18,000,000,000 Debt Issuance Programme
21.03.2014
24.03.2014
UniCredit Bank Austria AG
Supplement
5th Supplement to Base Prospectus €40,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME FOR THE
ISSUE OF NOTES INCLUDING PFANDBRIEFE AND JUMBO-PFANDBRIEFE
25.03.2014
25.03.2014
Deutsche Bank AG
Supplement
9th Supplement to Base Prospectus Euro 80,000,000,000 Debt Issuance Programme
25.03.2014
26.03.2014
DE000A1TNC94
DE000A1TNC94
(to be continued)
DVR 0937487
Page 28 of 50
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FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Morgan Stanley
Supplement
3rd Supplement to Base Prospectus to INDEX LINKED NOTES AND CERTIFICATES under the Euro
2,000,000,000 German Programme for Medium Term Notes and Certificates
26.03.2014
26.03.2014
Aareal Bank AG
Supplement
4th Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
27.03.2014
27.03.2014
AIV S.A.
Non-equity securities
Prospectus to EUR50,000,000 AIV Vision Microfinance Certificates due 2040 Offer to the public of 9,806
Certificates
27.03.2014
27.03.2014
J.P. Morgan Structured Products
B.V.
Supplement
9th Supplement to Base Prospectus Structured Securities Programme for the issuance of Notes, Warrants and
Certificates
27.03.2014
27.03.2014
Supplement
4th Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
27.03.2014
27.03.2014
Bayerische Landesbank
Supplement
6th Supplement to Base Prospectus EUR 60,000,000,000 Debt Issuance Programme
31.03.2014
31.03.2014
Aareal Bank AG
Supplement
5th Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
01.04.2014
01.04.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
11th Supplement to Base Prospectus Programme for the issuance of Warrants, Notes and Certificates
01.04.2014
01.04.2014
Linde AG
Base prospectus
Base Prospectus to € 10,000,000,000 Debt Issuance Programme
01.04.2014
01.04.2014
The Goldman Sachs Group, Inc
Supplement
8th Supplement to Base Prospectus Euro Medium-Term Notes, Series F Subordinated Euro Medium-Term
Notes, Series G
01.04.2014
01.04.2014
Supplement
5th Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
01.04.2014
01.04.2014
BNP Paribas Fortis SA/NV
Supplement
4th Supplement to Base Prospectuses Euro Medium Term Note Programme
03.04.2014
03.04.2014
Raiffeisen Bank International AG
Supplement
7th Supplement to 3partite Base Prospectus EUR 25,000,000,000 Debt Issuance Programme
03.04.2014
03.04.2014
Raiffeisenlandesbank
Niederösterreich-Wien AG
Supplement
5th Supplement to Base Prospectus EUR 5,000,000,000 Debt Issuance Programme
03.04.2014
03.04.2014
ProSiebenSat.1 Media SE
(vormals ProSiebenSat.1 Media
AG)
Non-equity securities
Prospectus to EUR [*] [*] % Notes due 2021
04.04.2014
07.04.2014
UniCredit Bank Austria AG
Supplement
6th Supplement to Base Prospectus €40,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME FOR THE
ISSUE OF NOTES INCLUDING PFANDBRIEFE AND JUMBO-PFANDBRIEFE
07.04.2014
07.04.2014
Deutsche Bank AG
Supplement
10th Supplement to Base Prospectus Euro 80,000,000,000 Debt Issuance Programme
08.04.2014
08.04.2014
National Australia Bank Limited
Supplement
3rd Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
07.04.2014
08.04.2014
SAP AG
Base prospectus
Base Prospectus to EUR 6,000,000,000 Programme for the Issuance of Debt Instruments
08.04.2014
08.04.2014
EnBW Energie
Baden-Württemberg AG
Base prospectus
Base Prospectus to Euro 7,000,000,000 Debt Issuance Programme
08.04.2014
09.04.2014
Bertelsmann SE & Co. KGaA
Base prospectus
Base Prospectus to EUR 4,000,000,000 Debt Issuance Programme
10.04.2014
10.04.2014
(to be continued)
DVR 0937487
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Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
12th Supplement to Base Prospectus Programme for the issuance of Warrants, Notes and Certificates
10.04.2014
11.04.2014
The Goldman Sachs Group, Inc
Supplement
9th Supplement to Base Prospectus Euro Medium-Term Notes, Series F Subordinated Euro Medium-Term
Notes, Series G
10.04.2014
11.04.2014
Palladium Securities 1 S.A.
Supplement
Supplement to Base Prospectus Programme for the issuance of Secured Notes
17.04.2014
17.04.2014
The Goldman Sachs Group, Inc
Supplement
10th Supplement to Base Prospectus Euro Medium-Term Notes, Series F Subordinated Euro Medium-Term
Notes, Series G
17.04.2014
18.04.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
13th Supplement to Base Prospectus Programme for the issuance of Warrants, Notes and Certificates
18.04.2014
22.04.2014
SG ISSUER S.A.
Non-equity securities
Prospectus to EUR 50,000,000 Notes linked to the Finvex Sustainable Efficient Europe 30 Price Index due 13
July 2020
23.04.2014
23.04.2014
Hewlett-Packard Company
Base prospectus
Prospectus to Employee Stock Purchase Plan (ESPP) Second Amended and Restated Hewlett-Packard
Company 2004 Stock Incentive Plan (SIP)
24.04.2014
24.04.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus Fixed Income Notes under the Euro 2,000,000,000 German Programme for
Medium Term Notes and Certificates
25.04.2014
25.04.2014
Morgan Stanley
Supplement
4th Supplement to Base Prospectus Index Linked Notes and Certificates under the Euro 2,000,000,000
German Programme for Medium Term Notes and Certificates
25.04.2014
25.04.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus Equity linked Notes and Certificates under the Euro 2,000,000,000 German
Programme for Medium Term Notes and Certificates
25.04.2014
25.04.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus COMMODITY AND CURRENCY LINKED NOTES AND CERTIFICATES
under the Euro 2,000,000,000 German Programme for Medium Term Notes and Certificates
25.04.2014
25.04.2014
Telekom Austria
Aktiengesellschaft
Base prospectus
Base Prospectus to EUR 2,500,000,000 Euro Medium Term Note Programme
24.04.2014
25.04.2014
J.P. Morgan Structured Products
B.V.
Supplement
10th Supplement to Base Prospectus Structured Securities Programme for the issuance of Notes, Warrants
and Certificates
28.04.2014
28.04.2014
Raiffeisenlandesbank
Oberösterreich AG
Base prospectus
Base Prospectus to Angebotsprogramm für Schuldverschreibungen und Zertifikate
28.04.2014
28.04.2014
J.P. Morgan Structured Products
B.V.
Base prospectus
Base Prospectus to Structured Securities Programme for the issuance of Notes, Warrants and Certificates
29.04.2014
29.04.2014
RWE AG
Base prospectus
Base Prospectus to € 30,000,000,000 Debt Issuance Programme
29.04.2014
29.04.2014
Württembergische
Lebensversicherung AG
Non-equity securities
Prospectus to EUR..% Subordinated Fixed to Floating Rate Bearer Notes
28.04.2014
29.04.2014
Deutsche Bank AG
Base prospectus
Base Prospectus to € 25.000.000.000 Debt Issuance Programme
30.04.2014
30.04.2014
XS1064049767
(to be continued)
DVR 0937487
Page 30 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
LANXESS AG
Base prospectus
Base Prospecuts to € 2,500,000,000 Programme for the Issuance of Debt Instruments
29.04.2014
30.04.2014
MAHLE GmbH
Base prospectus
Base Prospectus to € 1.000.000.000 Euro Medium Term Note Programme
30.04.2014
30.04.2014
Societe Generale
Base prospectus
Base Prospectus Debt Instruments Issuance Programme
29.04.2014
30.04.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus Regulation S Program for the Issuance of Notes, Series A and Series B,
Warrants and Certificates
25.04.2014
05.05.2014
SAP AG
Supplement
1st Supplement to Base Prospectus EUR 6,000,000,000 Programme for the Issuance of Debt Instruments
05.05.2014
05.05.2014
UniCredit S.p.A.
Supplement
4th Supplement to Base Prospectus €60,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
02.05.2014
05.05.2014
HeidelbergCement AG
Base prospectus
Base Prospectus to € 10,000,000,000 Euro Medium Term Note Programme
06.05.2014
06.05.2014
Volkswagen AG
Base prospectus
Base Prospectus to € 30,000,000,000 Debt Issuance Programme
02.05.2014
06.05.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
14th Supplement to Base Prospectus PROGRAMME FOR THE ISSUANCE OF WARRANTS, NOTES AND
CERTIFICATES
06.05.2014
07.05.2014
Landesbank
Baden-Württemberg
Base prospectus
Base Prospectus to Euro 50,000,000,000 Programme for the Issuance of Debt Securities
07.05.2014
07.05.2014
Linde AG
Supplement
1st Supplement to Base Prospectus € 10,000,000,000 Debt Issuance Programme
07.05.2014
07.05.2014
Citigroup Inc.
Supplement
7th Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
08.05.2014
08.05.2014
Deutsche Apotheker- und
Ärztebank eG
Base prospectus
Base Prospectus to € 15,000,000,000 Debt Issuance Programme
08.05.2014
08.05.2014
DekaBank Deutsche
Girozentrale
Base prospectus
Base Prospectus to € 35,000,000,000 Euro Medium Term Note Programme for the issue of Notes (including
Pfandbriefe)
09.05.2014
09.05.2014
DekaBank Deutsche
Girozentrale
Base prospectus
Base Prospectus to € 35,000,000,000 Euro Medium Term Note Programme für die Emission von
Schuldverschreibungen (einschliesslich Pfandbriefen)
09.05.2014
09.05.2014
Deutsche Genossenschafts-Hyp
othekenbank AG
Base prospectus
Base Prospectus to EUR 25,000,000,000 Debt Issuance Programme
09.05.2014
09.05.2014
HanseYachts AG
Non-equity securities
Prospectus to Emission von bis zu EUR 20.000.000 8,0 % Schuldverschreibungen 2014/2019
09.05.2014
09.05.2014
Raiffeisenlandesbank
Oberösterreich AG
Supplement
2nd Supplement to Base Prospectus Debt Issuance Programme
09.05.2014
09.05.2014
BAWAG P.S.K. Bank für Arbeit
und Wirtschaft und
Österreichische Postsparkasse
AG
Base prospectus
Base Prospectus to EUR 10,000,000,000 Debt Issuance Programme
12.05.2014
12.05.2014
Deutsche Bank AG
Supplement
11th Supplement to Base Prospectus Euro 80,000,000,000 Debt Issuance Programme
08.05.2014
12.05.2014
DE000A11QHZ0
(to be continued)
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28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
mFinance France S.A.
Supplement
2nd Supplement to Base Prospectus €3,000,000,000 Euro Medium Term Note Programme
12.05.2014
12.05.2014
National Australia Bank Limited
Supplement
4th Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
09.05.2014
12.05.2014
The Goldman Sachs Group, Inc
Supplement
11th Supplement to Base Prospectus Euro Medium-Term Notes, Series F Subordinated Euro Medium-Term
Notes, Series G
12.05.2014
12.05.2014
Bayerische Motoren Werke AG
(BMW)
Base prospectus
Base Prospectus to EUR 35,000,000,000 Euro Medium Term Note Programme
13.05.2014
13.05.2014
Münchener Hypothekenbank eG
Base prospectus
Base Prospectus to EUR 25,000,000,000 Debt Issuance Programme
13.05.2014
13.05.2014
TE Connectivity Ltd. (ehem.Tyco
Electronics Ltd.)
Supplement
Supplement to Prospectus Offer of shares under the Employee Stock Purchase Plan
12.05.2014
13.05.2014
Bayerische Landesbank
Base prospectus
Base Prospectus to EUR 60,000,000,000 Debt Issuance Programme
13.05.2014
14.05.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
15th Supplement to Base Prospectus Programme for the issuance of Warrants, Notes and Certificates
12.05.2014
14.05.2014
Grenke AG (vormals
Grenkeleasing AG)
Supplement
1st Supplement to Base Prospectus € 1,250,000,000 Debt Issuance Programme
14.05.2014
14.05.2014
Siemens AG
Base prospectus
Base Prospectus to €15,000,000,000 Programme for the Issuance of Debt Instruments
14.05.2014
14.05.2014
Vorarlberger Landes- und
Hypothekenbank
Aktiengesellschaft
Supplement
4th Supplement to Base Prospectus EUR 7,000,000,000 Debt Issuance Programme
13.05.2014
14.05.2014
Deutsche Hypothekenbank
(Actien-Gesellschaft)
Supplement
1st Supplement to Base Prospectus EUR 15,000,000,000 Debt Issuance Programme
15.05.2014
15.05.2014
Deutsche Post AG
Base prospectus
Base Prospectus to € 5,000,000,000 Debt Issuance Programme
15.05.2014
15.05.2014
Palladium Securities 1 S.A.
Supplement
Supplement to Base Prospectus Programme for the issuance of Secured Notes
14.05.2014
15.05.2014
Deutsche Lufthansa AG
Supplement
2nd Supplement to Base Prospectus EUR 4,000,000,000 Debt Issuance Programme
16.05.2014
16.05.2014
ÖBB Infrastruktur AG
Supplement
1st Supplement to Base Prospectus EUR 20,000,000,000 Debt Issuance Programme
15.05.2014
16.05.2014
J.P. Morgan Structured Products
B.V.
Supplement
1st Supplement Base Prospectus Structured Securities Programme for the issuance of Notes, Warrants and
Certificates
16.05.2014
19.05.2014
UniCredit S.p.A.
Supplement
5th Supplement to Base Prospectus €60,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
20.05.2014
20.05.2014
Deutsche Bank AG
Supplement
12th Supplement to Base Prospectus Euro 80,000,000,000 Debt Issuance Programme
21.05.2014
21.05.2014
Hochtief AG
Non-equity securities
Prospectus to Euro [*] [*] per cent. Notes due 2019
20.05.2014
21.05.2014
Raiffeisenlandesbank
Niederösterreich-Wien AG
Base prospectus
Base Prospectus to EUR 5,000,000,000 Debt Issuance Programme
21.05.2014
21.05.2014
(to be continued)
DVR 0937487
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28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
BASF SE
Supplement
3rd Supplement to Base Prospectus EUR 15,000,000,000 Debt Issuance Program
21.05.2014
22.05.2014
Bayer AG
Supplement
1st Supplement to Base Prospectus €15,000,000,000 Programme for the Issuance of Debt Instruments
21.05.2014
22.05.2014
Goldman Sachs & Co.
Wertpapier GmbH
Supplement
16th Supplement to Base Prospectus Programme for the issuance of Warrants, Notes and Certificates
21.05.2014
22.05.2014
Bayerische Landesbank
Supplement
1st Supplement to Base Prospectus EUR 60,000,000,000 Debt Issuance Programme
27.05.2014
27.05.2014
HeidelbergCement AG
Supplement
1st Supplement to € 10,000,000,000 Euro Medium Term Note Programme
27.05.2014
27.05.2014
LAFARGE
Base prospectus
Base Prospectus to €12,000,000,000 Euro Medium Term Note Programme
27.05.2014
28.05.2014
UniCredit Bank AG
Supplement
Supplement to Base Prospectus for the issuance of Reference Asset Linked Securities under the Euro
50,000,000,000 Debt Issuance Programme
28.05.2014
28.05.2014
National Australia Bank Limited
Supplement
5th Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
28.05.2014
30.05.2014
Vedes AG
Non-equity securities
Prospectus to Emission von bis zu EUR 20.000.000 7,125 % Schuldverschreibungen 2014/2019
30.05.2014
30.05.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus for Index Linked Notes and Certificates under the Euro 2,000,000,000
German Programme for Medium Term Notes and Certificates
02.06.2014
02.06.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus for Fixed Income Notes under the Euro 2,000,000,000 German Programme
for Medium Term Notes and Certificates
02.06.2014
02.06.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus for Equity linked Notes and Certificates Euro 2,000,000,000 German
Programme for Medium Term Notes and Certificates
02.06.2014
02.06.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus for Commodity and Currency linked Notes and Certificates under the Euro
2,000,000,000 German Programme for Medium Term Notes and Certificates
02.06.2014
02.06.2014
UniCredit Bank AG
Supplement
Supplement to Base Prospectus Wertpapiere unter dem Euro 50.000.000.000 Debt Issuance Programme
02.06.2014
02.06.2014
Bayerische Landesbank
Supplement
2nd Supplement to Base Prospectus EUR 60,000,000,000 Debt Issuance Programme
03.06.2014
03.06.2014
UniCredit S.p.A.
Supplement
6th Supplement to Base Prospectus €60,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
03.06.2014
03.06.2014
Aareal Bank AG
Base prospectus
Base Prospectus to Euro 15,000,000,000 Debt Issuance Programme
03.06.2014
04.06.2014
Raiffeisen Bank International AG
Supplement
8th Supplement to 3partite Base Prospectus EUR 25,000,000,000 Debt Issuance Programme
04.06.2014
04.06.2014
SG ISSUER S.A.
Non-equity securities
Prospectus to the issue of up to USD 50,000,000 Notes linked to a basket of Indices de 13 July 2020
04.06.2014
04.06.2014
Vorarlberger Landes- und
Hypothekenbank
Aktiengesellschaft
Base prospectus
Base Prospectus to € 7,000,000,000 Debt Issuance Programme
05.06.2014
05.06.2014
Hypo Tirol Bank AG
Base prospectus
Base Prospectus to Euro 5,750,000,000 Debt Issuance Programme
10.06.2014
10.06.2014
Nomura Bank International plc
Base prospectus
Base Prospectus to USD 400,000,000 Note, Warrant And Certificate Programme
05.08.2013
10.06.2014
DE000A11QJA9
XS1037602916
(to be continued)
DVR 0937487
Page 33 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Nomura Bank International plc
Supplement
Supplement to Base Prospectus USD 400,000,000 Note, Warrant And Certificate Programme
10.01.2014
10.06.2014
Nomura Bank International plc
Supplement
Supplement to Base Prospectus USD 400,000,000 Note, Warrant And Certificate Programme
11.04.2014
10.06.2014
Sixt SE
Supplement
Supplement to Prospectus EUR [*] [*] per cent. Notes due 12 June 2020
10.06.2014
10.06.2014
The Goldman Sachs Group, Inc
Non-equity securities
Prospectus to Euro Medium-Term Notes, Series F
05.06.2014
10.06.2014
Sixt SE
Non-equity securities
Prospectus to EUR [*] [*] per cent. Notes due 12 June 2020
02.06.2014
11.06.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
04.06.2014
11.06.2014
Volkswagen Bank GmbH
Base prospectus
Base Prospectus to EUR 10,000,000,000 Debt Issuance Programme
12.06.2014
12.06.2014
Volkswagen Financial Services
Aktiengesellschaft
Base prospectus
Base Prospectus to EUR 25,000,000,000 Debt Issuance Programme
12.06.2014
12.06.2014
DZ PRIVATBANK S.A.
Base prospectus
Base Prospectus to Debt Issuance Programme
13.06.2014
13.06.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus for Index Linked Notes and Certificates under the Euro 2,000,000,000
German Programme for Medium Term Notes and Certificates
13.06.2014
13.06.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus for Equity linked Notes and Certificates Euro 2,000,000,000 German
Programme for Medium Term Notes and Certificates
13.06.2014
13.06.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus for Fixed Income Notes under the Euro 2,000,000,000 German Programme
for Medium Term Notes and Certificates
13.06.2014
13.06.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus FOR COMMODITY AND CURRENCY LINKED NOTES AND CERTIFICATES
under the Euro 2,000,000,000 German Programme for Medium Term Notes and Certificates
13.06.2014
13.06.2014
OMV AG
Base prospectus
Base Prospectus to Euro 6,000,000,000 Euro Medium Term Note Programme for the issue of the Notes
13.06.2014
13.06.2014
BNP Paribas Fortis SA/NV
Base prospectus
Base Prospectus to Euro Medium Term Note Programme
13.06.2014
16.06.2014
Volkswagen AG
Supplement
1st Supplement to Base Prospectus € 30,000,000,000 Debt Issuance Programme
13.06.2014
16.06.2014
CREDIT AGRICOLE
CORPORATE AND
INVESTMENT BANK
Supplement
8th Supplement to Base Prospectus €50,000,000,000 Structured Euro Medium Term Note Programme
16.06.2014
18.06.2014
HYPO NOE Gruppe Bank AG
(formerly Hypo Investmentbank
AG)
Base prospectus
Base Prospectus to Euro 5,500,000,000 Debt Issuance Programme for the issue of the Notes (including
Pfandbriefe and fundierte Bankschuldverschreibungen
18.06.2014
18.06.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus Regulation S Program for the Issuance of Notes, Series A and Series B,
Warrants and Certificates
30.05.2014
19.06.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus Regulation S Program for the Issuance of Notes, Series A and Series B,
Warrants and Certificates
13.06.2014
19.06.2014
(to be continued)
DVR 0937487
Page 34 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
UniCredit Bank Austria AG
Base prospectus
Base Prospectus to € 40,000,000,000 Euro Medium Term Note Programme for the issue of Notes including
Pfandbriefe, Jumbo-Pfandbriefe and Covered Bank Bonds due from one month to 40 years from the date of
issue
18.06.2014
19.06.2014
Citigroup Inc.
Base prospectus
Base Prospectus to U.S.$ 110,000,000,000 Programme for the issuance of Euro Medium-Term Notes, Series
B
24.06.2014
24.06.2014
GOLDMAN SACHS
INTERNATIONAL
Base prospectus
Base Prospectus to Series A Programme for the issuance of Warrants, Notes and Certificates
20.06.2014
24.06.2014
Raiffeisenlandesbank
Oberösterreich AG
Supplement
3rd Supplement to Base Prospectus the Debt Issuance Programme
24.06.2014
25.06.2014
Raiffeisenlandesbank
Oberösterreich AG
Supplement
1st Supplement to Base Prospectus Angebotsprogramm für Schuldverschreibungen und Zertifikate
24.06.2014
25.06.2014
BNP Paribas Fortis SA/NV
Supplement
1st Supplement to Base Prospectus Euro Medium Term Note Programme
26.06.2014
26.06.2014
Morgan Stanley & Co.
International plc
Base prospectus
Base Prospectus to INDEX LINKED NOTES AND CERTIFICATES Euro 2,000,000,000 German Programme
for Medium Term Notes and Certificates
26.06.2014
26.06.2014
Morgan Stanley & Co.
International plc
Base prospectus
Base Prospectus EQUITY LINKED NOTES AND CERTIFICATES EURO 2,000,000,000 GERMAN
PROGRAMME FOR MEDIUM TERM NOTES AND CERTIFICATES
26.06.2014
26.06.2014
Morgan Stanley & Co.
International plc
Base prospectus
Base Prospectus to COMMODITY AND CURRENCY LINKED NOTES AND CERTIFICATES Euro
2,000,000,000 German Programme for Medium Term Notes and Certificates
26.06.2014
26.06.2014
Morgan Stanley & Co.
International plc
Base prospectus
Base Prospectus to FIXED INCOME NOTES Euro 2,000,000,000 German Programme for Medium Term
Notes and Certificates
26.06.2014
26.06.2014
Aareal Bank AG
Supplement
1st Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
27.06.2014
30.06.2014
Deutsche Annington Finance
B.V.
Base prospectus
Base Prospectus to EUR 5,000,000,000 Debt Issuance Programme
30.06.2014
30.06.2014
Deutsche Bank AG
Base prospectus
Base Prospectus to Euro 80,000,000,000 Debt Issuance Programme
26.06.2014
30.06.2014
Exane Finance
Base prospectus
Base Prospectus to Debt Securities Issue Programme
25.06.2014
30.06.2014
Symrise AG
Non-equity securities
Prospectus to € [*] [*] per cent. Notes due 2021
27.06.2014
30.06.2014
Symrise AG
Non-equity securities
Prospectus to € [*] [*] per cent. Notes due 2019
27.06.2014
30.06.2014
Bayerische Landesbank
Supplement
3rd Supplement to Base Prospectus EUR 60,000,000,000 Debt Issuance Programme
01.07.2014
01.07.2014
Vorarlberger Landes- und
Hypothekenbank
Aktiengesellschaft
Supplement
1st Supplement to Base Prospectus EUR 7,000,000,000 Debt Issuance Programme
01.07.2014
01.07.2014
Symrise AG
Supplement
1st Supplement to € [*] [*] per cent. Notes due 2019
02.07.2014
02.07.2014
(to be continued)
DVR 0937487
Page 35 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Symrise AG
Supplement
1st Supplement to € [*] [*] per cent. Notes due 2021
02.07.2014
02.07.2014
DekaBank Deutsche
Girozentrale
Base prospectus
Base Prospectus to Emissionsprogramm für Inhaberschuldverschreibungen I
03.07.2014
03.07.2014
UniCredit S.p.A.
Base prospectus
Base Prospectus to €60,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
02.07.2014
03.07.2014
CREDIT AGRICOLE
CORPORATE AND
INVESTMENT BANK
Base prospectus
Base Prospectus to €50,000,000,000 Structured Euro Medium Term Note Programme
25.06.2014
04.07.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
24.06.2014
04.07.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
24.06.2014
04.07.2014
SG ISSUER S.A.
Non-equity securities
Prospectus to Issue of up to EUR 50,000,000 Notes linked to a basket of shares due 29 August 2022
09.07.2014
10.07.2014
BNP Paribas Fortis SA/NV
Supplement
2nd Supplement to Base Prospectus Euro Medium Term Note Programme
11.07.2014
11.07.2014
Deutsche Bahn AG
Base prospectus
Base Prospectus to € 20,000,000,000 Debt Issuance Programme
11.07.2014
11.07.2014
Raiffeisenlandesbank
Niederösterreich-Wien AG
Supplement
1st Supplement to Base Prospectus EUR 5,000,000,000 Debt Issuance Programme
11.07.2014
11.07.2014
Deutsche Lufthansa AG
Supplement
3rd Supplement to Base Prospectus EUR 4,000,000,000 Debt Issuance Programme
16.07.2014
16.07.2014
The Goldman Sachs Group, Inc
Supplement
1st Supplement to Prospectus Euro Medium-Term Notes, Series F
15.07.2014
16.07.2014
Citigroup Inc.
Supplement
1st Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
17.07.2014
17.07.2014
GOLDMAN SACHS
INTERNATIONAL
Supplement
1st Supplement to Base Prospectus Series A Programme for the issuance of Warrants, Notes and Certificates
17.07.2014
17.07.2014
National Australia Bank Limited
Supplement
6th Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
21.07.2014
22.07.2014
J.P. Morgan Structured Products
B.V.
Supplement
2nd Supplement to Base Prospectus Structured Securities Programme for the issuance of Notes, Warrants
and Certificates
24.07.2014
24.07.2014
Kommunalkredit Austria AG
Base prospectus
Base Prospectus to € 3,000,000,000 Debt Issuance Programme
24.07.2014
25.07.2014
EWE Aktiengesellschaft
Base prospectus
Base Prospectus to € 2,000,000,000 Debt Issuance Programme
30.07.2014
30.07.2014
Palladium Securities 1 S.A.
Base prospectus
Base Prospectus to Programme for the issuance of Secured Notes
30.07.2014
30.07.2014
Deutsche Bank AG
Supplement
1st Supplement to Base Prospectus Euro 80,000,000,000 Debt Issuance Programme
01.08.2014
01.08.2014
HeidelbergCement AG
Supplement
2nd Supplement to Base Prospectus € 10,000,000,000 Euro Medium Term Note Programme
01.08.2014
01.08.2014
SAP AG
Supplement
2nd Supplement to Base Prospectus EUR 6,000,000,000 Programme for the Issuance of Debt Instruments
01.08.2014
01.08.2014
DE000A1ZFLL6
(to be continued)
DVR 0937487
Page 36 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Volkswagen Bank GmbH
Supplement
1st Supplement to Base Prospectus EUR 10,000,000,000 Debt Issuance Programme
04.08.2014
04.08.2014
Volkswagen Financial Services
Aktiengesellschaft
Supplement
1st Supplement to Base Prospectus EUR 25,000,000,000 Debt Issuance Programme
04.08.2014
04.08.2014
Bayerische Landesbank
Supplement
4th Supplement to Base Prospectus EUR 60,000,000,000 Debt Issuance Programme
05.08.2014
05.08.2014
Citigroup Inc.
Supplement
2nd Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
06.08.2014
06.08.2014
Linde AG
Supplement
2nd Supplement to Base Prospectus € 10,000,000,000 Debt Issuance Programme
07.08.2014
07.08.2014
Volkswagen AG
Supplement
2nd Supplement to Base Prospectus € 30,000,000,000 Debt Issuance Programme
05.08.2014
07.08.2014
Siemens AG
Supplement
1st Supplement to Base Prospectus €15,000,000,000 PROGRAMME FOR THE ISSUANCE OF DEBT
INSTRUMENTS
08.08.2014
08.08.2014
The Goldman Sachs Group, Inc
Supplement
2nd Supplement to Base Prospectus Euro Medium-Term Notes, Series F
08.08.2014
08.08.2014
GOLDMAN SACHS
INTERNATIONAL
Supplement
2nd Supplement to Base Prospectus Series A Programme for the issuance of Warrants, Notes and Certificates
08.08.2014
11.08.2014
Hypo Tirol Bank AG
Supplement
1st Supplement to Base Prospectus Euro 5,750,000,000 Debt Issuance Programme
11.08.2014
11.08.2014
TE Connectivity Ltd. (ehem.Tyco
Electronics Ltd.)
Supplement
Supplement to Prospectus Offer of shares under the Employee Stock Purchase Plan
11.08.2014
11.08.2014
Aareal Bank AG
Supplement
2nd Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
12.08.2014
12.08.2014
UniCredit S.p.A.
Supplement
Supplement to Base Prospectus €60,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
13.08.2014
13.08.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
13.08.2014
14.08.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Fund-linked Securities under the Euro 50,000,000,000 Debt Issuance Programme
18.08.2014
18.08.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Credit Linked Securities under the Euro 7,000,000,000 Credit Linked Securities
Programme
18.08.2014
18.08.2014
Hochwald Milch eG
Non-equity securities
Prospectus to EUR 25.000.000 Inhaber-Genussschein-Emissionsprogramm
19.08.2014
19.08.2014
Raiffeisen Bank International AG
Base prospectus
Base Prospectus to EUR 25,000,000,000 Debt Issuance Programme for the issue of Notes
19.08.2014
19.08.2014
UniCredit Bank Austria AG
Supplement
1st Supplement to Base Prospectus €40,000,000,000 Euro Medium Term Note Programme for the issue of
Notes including Pfandbriefe, Jumbo-Pfandbriefe and Covered Bank Bonds due from one month to 40 years
from the date of issue
19.08.2014
19.08.2014
National Australia Bank Limited
Supplement
7th Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Bayer AG
Supplement
2nd Supplement to Base Prospectus €15,000,000,000 Programme for the Issuance of Debt Instruments
22.08.2014
22.08.2014
Deutsche Bahn AG
Supplement
1st Supplement to Base Prospectus
22.08.2014
22.08.2014
AIV S.A.
Non-equity securities
Prospectus to € 50,000,000 AIV- Vision Microfinance Local Currency Certificates due 2040 - Offer to the public
of 3,696 Certificates
26.08.2014
26.08.2014
Bayerische Landesbank
Supplement
5th Supplement to the Base Prospectus relating to the EUR 60,000,000,000 Debt Issuance Programme
26.08.2014
26.08.2014
J.P. Morgan Structured Products
B.V.
Supplement
3rd Supplement to Base Prospecuts Structured Securities Programme for the issuance of Notes, Warrants and
Certificates
27.08.2014
27.08.2014
mFinance France S.A.
Supplement
3rd Supplement to Base Prospectus 3,000,000,000 Euro Medium Term Note Programme
27.08.2014
27.08.2014
GOLDMAN SACHS
INTERNATIONAL
Supplement
3rd Supplement to the Base Prospectus Series A Programme for the issuance of Warrants, Notes and
Certificates
28.08.2014
28.08.2014
Spar Österreichische
Warenhandels-AG
Non-equity securities
Prospectus to Öffentliches Angebot von bis zu 1827 SPAR-Anleihe Schuldverschreibungen
28.08.2014
28.08.2014
The Goldman Sachs Group, Inc
Supplement
3rd Supplement to Prospectus - Euro Medium - Term Notes, Series F
27.08.2014
28.08.2014
Raiffeisen Bank International AG
Supplement
1st Supplement to Base Prospectus to EUR 25,000,000,000 Debt Issuance Programme Prospectus for the
issue of Notes
29.08.2014
29.08.2014
Raiffeisenlandesbank
Oberösterreich AG
Supplement
2nd Supplement to Base Prospectus Angebotsprogramm für Schuldverschreibungen und Zertifikate
01.09.2014
02.09.2014
Raiffeisenlandesbank
Oberösterreich AG
Supplement
4th Supplement to Base Prospectus Debt Issuance Programme
01.09.2014
02.09.2014
EVONIK INDUSTRIES AG
Supplement
1st Supplement to Base Prospectus EUR 3,000,000,000 Debt Issuance Programme
03.09.2014
03.09.2014
GOLDMAN SACHS
INTERNATIONAL
Supplement
4th Supplement to Base Prospectus Series A Programme for the issuance of Warrants, Notes and Certificates
03.09.2014
03.09.2014
UniCredit Bank AG
Base prospectus
Base Prospectus zur Begebung von fondsbezogenen Wertpapieren unter dem Euro 50.000.000.000 Debt
Issuance Programme
02.09.2014
03.09.2014
BNP Paribas Fortis SA/NV
Supplement
3rd Supplement to the Base Prospectus Euro Medium Term Note Programme
04.09.2014
04.09.2014
Deutsche Lufthansa AG
Base prospectus
Base Prospectus to EUR 4,000,000,000 Debt Issuance Programme
04.09.2014
04.09.2014
Raiffeisenlandesbank
Niederösterreich-Wien AG
Supplement
2nd Supplement to Base Prospectus EUR 5,000,000,000 Debt Issuance Programme
05.09.2014
05.09.2014
Bertelsmann SE & Co. KGaA
Supplement
1st Supplement to Base Prospectus EUR 4,000,000,000 Debt Issuance Programme
09.09.2014
09.09.2014
CREDIT AGRICOLE
CORPORATE AND
INVESTMENT BANK
Supplement
2nd Supplement to Base Prospectus €50,000,000,000 Structured Euro Medium Term Note Programme
09.09.2014
09.09.2014
XS0554549575
AT0000A19338
(to be continued)
DVR 0937487
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FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
KSW Immobilien GmbH & Co.
KG
Non-equity securities
Prospectus to Emission von bis zu € 25 Mio. 6,5 % Schuldverschreibungen 2014/2019 mit einer Laufzeit vom
07.10.2014 bis 07.10.2019
10.09.2014
10.09.2014
Münchener Hypothekenbank eG
Supplement
1st Supplement to Base Prospectus EUR 25,000,000,000 Debt Issuance Programme
10.09.2014
10.09.2014
Roche Finance Europe B.V.
Supplement
Supplement to Base Prospectus EUR 15,000,000,000 Euro Medium Term Note Programme
10.09.2014
10.09.2014
mFinance France S.A.
Supplement
4th Supplement to €3,000,000,000 Euro Medium Term Note Programme
10.09.2014
11.09.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
10.09.2014
11.09.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Euro 7,000,000,000 Credit Linked Securities Programme
11.09.2014
15.09.2014
BASF SE
Base prospectus
Base Prospectus to EUR 20,000,000,000 Debt Issuance Program
16.09.2014
16.09.2014
Kommunalkredit Austria AG
Supplement
Supplement to Base Prospectus EUR 3,000,000,000 Debt Issuance Programme
15.09.2014
16.09.2014
OTTO (GmbH & CO KG)
Base prospectus
Base Prospectus to € 2,000,000,000 Debt Issuance Programme
15.09.2014
16.09.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to EUR 10.000.000.000 Basisprospekt Credit Linked Schuldverschreibungen mit einem oder
mehreren Referenzunternehmen und Fixem oder Variablem (Anteiligen) Abwicklungsbetrag
22.09.2014
22.09.2014
Spar Österreichische
Warenhandels-AG
Supplement
1st Supplement to Öffentliches Angebot von bis zu 1827 SPAR-Anleihe Schuldverschreibungen
22.09.2014
22.09.2014
Bundesimmobiliengesellschaft
m.b.H.
Base prospectus
Base Prospectus to EUR 4,000,000,000 Debt Issuance Programme
23.09.2014
23.09.2014
AIV S.A.
Supplement
Supplement to Prospectus EUR50,000,000 AIV Vision Microfinance Certificates due 2040
25.09.2014
25.09.2014
BAWAG P.S.K. Bank für Arbeit
und Wirtschaft und
Österreichische Postsparkasse
AG
Supplement
1st Supplement to Base Prospectus EUR 10,000,000,000 Debt Issuance Programme
24.09.2014
25.09.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus FIXED INCOME NOTES Euro 2,000,000,000 German Programme for
Medium Term Notes and Certificates
24.09.2014
25.09.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus EQUITY LINKED NOTES AND CERTIFICATES EURO 2,000,000,000
GERMAN PROGRAMME FOR MEDIUM TERM NOTES AND CERTIFICATES
24.09.2014
25.09.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus INDEX LINKED NOTES AND CERTIFICATES Euro 2,000,000,000 German
Programme for Medium Term Notes and Certificates
24.09.2014
25.09.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus COMMODITY AND CURRENCY LINKED NOTES AND CERTIFICATES
EURO 2,000,000,000 GERMAN PROGRAMME FOR MEDIUM TERM NOTES AND CERTIFICATES
24.09.2014
25.09.2014
Raiffeisen Bank International AG
Supplement
2nd Supplement to Base Prospectus EUR 25,000,000,000 Debt Issuance Programme for the issue of Notes
25.09.2014
26.09.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus Regulation S Program for the Issuance of Notes, Series A and Series B,
Warrants and Certificates
26.09.2014
29.09.2014
(to be continued)
DVR 0937487
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FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
22.09.2014
30.09.2014
30.09.2014
01.10.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to Single Underlying and Multi Underlying Securities (with capital protection)
adidas AG
Non-equity securities
Prospectus to EUR * * per cent. Notes due 2021 and EUR * * per cent. Notes due 2026
Exane Finance
Supplement
1st Supplement to Base Prospectus Debt Securities Issue Programme
01.10.2014
01.10.2014
Raiffeisen Zentralbank
Österreich AG
Base prospectus
Base Prospectus to EUR 5,000,000,000 Debt Issuance Programme
30.09.2014
01.10.2014
UniCredit Bank Austria AG
Supplement
2nd Supplement to Base Prospectus € 40,000,000,000 Euro Medium Term Note Programme for the issue of
Notes including Pfandbriefe, Jumbo-Pfandbriefe and Covered Bank Bonds due from one month to 40 years
from the date of issue
01.10.2014
01.10.2014
ÖBB Infrastruktur AG
Base prospectus
Base Prospectus to EUR 20,000,000,000 Debt Issuance Programme
02.10.2014
02.10.2014
HYPO NOE Gruppe Bank AG
(formerly Hypo Investmentbank
AG)
Supplement
2nd Supplement to Base Prospectus Euro 5,500,000,000 Debt Issuance Programme for the issue of the Notes
(including Pfandbriefe and fundierte Bankschuldverschreibungen)
09.10.2014
09.10.2014
Merck Financial Services GmbH
Base prospectus
Base Prospectus to EUR 15,000,000,000 Debt Issuance Program
09.10.2014
09.10.2014
National Australia Bank Limited
Supplement
8th Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
14.10.2014
14.10.2014
Deutsche Hypothekenbank
(Actien-Gesellschaft)
Base prospectus
Base Prospectus to EUR 15,000,000,000 Debt Issuance Programme
16.10.2014
16.10.2014
The Goldman Sachs Group, Inc
Supplement
4th Supplement to Prospectus Euro Medium-Term Notes, Series F
17.10.2014
17.10.2014
Citigroup Inc.
Supplement
3rd Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
17.10.2014
20.10.2014
GOLDMAN SACHS
INTERNATIONAL
Supplement
5th Supplement to Base Prospectus Series A Programme for the issuance of Warrants, Notes and Certificates
17.10.2014
20.10.2014
UniCredit Bank AG
Base prospectus
Base Prospectus to the issuance of Fund-linked Securities under the Euro 50,000,000,000 Debt Issuance
Programme
20.10.2014
23.10.2014
NOMURA INTERNATIONAL
FUNDING PTE. LTD.
Supplement
Supplement to Base Prospectus USD 1,000,000,000 Note, Warrant And Certificate Programme
26.09.2014
27.10.2014
NOMURA INTERNATIONAL
FUNDING PTE. LTD.
Base prospectus
Base Prospectus to USD 1,000,000,000 Note, Warrant And Certificate Programme
01.08.2014
27.10.2014
J.P. Morgan Structured Products
B.V.
Supplement
4th Supplement to Base Prospectus Structured Securities Programme for the issuance of Notes, Warrants and
Certificates
28.10.2014
29.10.2014
Raiffeisenlandesbank
Oberösterreich AG
Supplement
5th Supplement to Base Prospectus Debt Issuance Programme
29.10.2014
29.10.2014
Raiffeisenlandesbank
Oberösterreich AG
Supplement
3rd Supplement to Base Prospectus Angebotsprogramm für Schuldverschreibungen und Zertifikate
29.10.2014
29.10.2014
XS1114155283
(to be continued)
DVR 0937487
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FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Societe Generale
Base prospectus
Base Prospectus to Debt Instruments Issuance Programme
28.10.2014
29.10.2014
BASF SE
Supplement
1st Supplement to Base Prospectus EUR 20,000,000,000 Debt Issuance Program
30.10.2014
30.10.2014
Bayer AG
Supplement
3rd Supplement to Base Prospectus €15,000,000,000 Programme for the Issuance of Debt Instruments
30.10.2014
30.10.2014
Hypo Tirol Bank AG
Supplement
2nd Supplement to Base Prospectus Euro 5,750,000,000 Debt Issuance Programme
30.10.2014
30.10.2014
Real Estate & Asset Beteiligungs
GmbH (vormals Maritim
Vertriebs GmbH)
Non-equity securities
Prospectus to bis zu EUR 25.000.000,- ? 8,25 %-Inhaber-Teilschuldverschreibungen 2014/2016
30.10.2014
30.10.2014
Raiffeisenlandesbank
Niederösterreich-Wien AG
Supplement
3rd Supplement to Base Prospectus EUR 5,000,000,000 Debt Issuance Programme
31.10.2014
31.10.2014
National Australia Bank Limited
Supplement
9th Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
03.11.2014
03.11.2014
Hewlett-Packard Company
Supplement
Supplement to Prospectus to EMPLOYEE STOCK PURCHASE PLAN (ESSP) Second Amended and
Restated Hewlett-Packard Company 2004 Stock Incentive Plan (SIP)
04.11.2014
05.11.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
06.11.2014
06.11.2014
Volkswagen AG
Supplement
3rd Supplement to Base Prospectus € 30,000,000,000 Debt Issuance Programme
04.11.2014
06.11.2014
GOLDMAN SACHS
INTERNATIONAL
Supplement
7th Supplement to Base Prospectus Series A Programme for the issuance of Warrants, Notes and Certificates
07.11.2014
07.11.2014
GOLDMAN SACHS
INTERNATIONAL
Supplement
6th Supplement to Base Prospectus Series A Programme for the issuance of Warrants, Notes and Certificates
06.11.2014
07.11.2014
mFinance France S.A.
Supplement
5th Supplement €3,000,000,000 Euro Medium Term Note Programme
06.11.2014
07.11.2014
SAP AG
Supplement
3rd Supplement to Base Prospectus EUR 6,000,000,000 Programme for the Issuance of Debt Instruments
07.11.2014
07.11.2014
OMV AG
Supplement
1st Supplement to Base Prospectus Euro 6,000,000,000 Euro Medium Term Note Programme for the issue of
the Notes
10.11.2014
10.11.2014
Aareal Bank AG
Supplement
3rd Supplement to Base Prospectus Euro 15,000,000,000 Debt Issuance Programme
11.11.2014
11.11.2014
SAG Motion GmbH
Non-equity securities
Prospectus to Öffentliches Angebot der bis zu EUR 30.000.000 [*]% Schuldverschreibungen 2014-2019
DE000A1ZR645
12.11.2014
12.11.2014
Real Estate & Asset Beteiligungs
GmbH (vormals Maritim
Vertriebs GmbH)
Supplement
1st Supplement to Prospectus für die bis zu EUR 25.000.000,00 * 8,25 % Inhaber-Teilschuldverschreibungen
2014/2016
DE000A13R5R8
12.11.2014
13.11.2014
Citigroup Inc.
Supplement
4th Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
14.11.2014
14.11.2014
Bundesimmobiliengesellschaft
m.b.H.
Supplement
1st Supplement to Base Prospectus EUR 4,000,000,000 Debt Issuance Programme
17.11.2014
17.11.2014
DE000A13R5R8
(to be continued)
DVR 0937487
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FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
14.11.2014
17.11.2014
18.11.2014
18.11.2014
NOMURA INTERNATIONAL
FUNDING PTE. LTD.
Supplement
2nd Supplement to Base Prospectus USD 3,000,000,000 Note, Warrant And Certificate Programme
Verbund AG
Non-equity securities
Prospectus to € 500,000,000 1.50 per cent. Notes due 2024
CREDIT AGRICOLE
CORPORATE AND
INVESTMENT BANK
Supplement
3rd Supplement to Base Prospectus €50,000,000,000 Structured Euro Medium Term Note Programme
18.11.2014
19.11.2014
Deutsche Bank AG
Supplement
2nd Supplement to Base Prospectus Euro 80,000,000,000 Debt Issuance Programme
17.11.2014
19.11.2014
National Australia Bank Limited
Supplement
10th Supplement to Base Prospectus U.S.$100,000,000,000 Global Medium Term Note Programme
19.11.2014
19.11.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
19.11.2014
20.11.2014
Bayerische Landesbank
Supplement
6th Supplement to Base Prospectus EUR 60,000,000,000 Debt Issuance Programme
21.11.2014
21.11.2014
The Goldman Sachs Group, Inc
Supplement
5th Supplement to Base Prospectus Euro Medium-Term Notes, Series F
05.11.2014
21.11.2014
UniCredit S.p.A.
Supplement
2nd Supplement to Base Prospectus €60,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
21.11.2014
21.11.2014
Citigroup Inc.
Supplement
5th Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
26.11.2014
26.11.2014
J.P. Morgan Structured Products
B.V.
Supplement
5th Supplement to Base Prospectus Structured Securities Programme for the issuance of Notes, Warrants and
Certificates
25.11.2014
26.11.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
19.11.2014
26.11.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus FOR INDEX LINKED NOTES AND CERTIFICATES Euro 2,000,000,000
German Programme for Medium Term Notes and Certificates
28.11.2014
28.11.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus FOR COMMODITY AND CURRENCY LINKED NOTES AND CERTIFICATES
EURO 2,000,000,000 GERMAN PROGRAMME FOR MEDIUM TERM NOTES AND CERTIFICATES
28.11.2014
28.11.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus FOR EQUITY LINKED NOTES AND CERTIFICATES EURO 2,000,000,000
GERMAN PROGRAMME FOR MEDIUM TERM NOTES AND CERTIFICATES
28.11.2014
28.11.2014
Morgan Stanley & Co.
International plc
Supplement
Supplement to Base Prospectus for Fixed Income Note Euro 2,000,000,000 German Programme for Medium
Term Notes and Certificates
28.11.2014
28.11.2014
Palladium Securities 1 S.A.
Supplement
Supplement to Base Prospectus Programme for the issuance of Secured Notes
28.11.2014
28.11.2014
IKB Deutsche Industriebank
Aktiengesellschaft
Base prospectus
Base Prospectus to Debt Issuance Programme
28.11.2014
01.12.2014
Morgan Stanley
Supplement
Supplement to Base Prospectus REGULATION S PROGRAM FOR THE ISSUANCE OF NOrES SERIES A
AND SERIES B, WARRANTS AND CERTIFICATES
24.11.2014
01.12.2014
EWE Aktiengesellschaft
Supplement
1st Supplement to Base Prospectus € 2,000,000,000 Debt Issuance Programme
03.12.2014
03.12.2014
XS1140300663
(to be continued)
DVR 0937487
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FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
SAG Motion GmbH
Supplement
1st Supplement to Prospectus Öffentliches Angebot der bis zu EUR 30.000.000 [*]% Schuldverschreibungen
2014-2019
03.12.2014
03.12.2014
NOMURA INTERNATIONAL
FUNDING PTE. LTD.
Supplement
3rd Supplement to Base Prospectus USD 3,000,000,000 Note, Warrant And Certificate Programme
04.12.2014
04.12.2014
BAWAG P.S.K. Bank für Arbeit
und Wirtschaft und
Österreichische Postsparkasse
AG
Supplement
2nd Supplement to Base Prospectus EUR 10,000,000,000 Debt Issuance Programme
05.12.2014
05.12.2014
Henkel AG & Co. KGaA
Base prospectus
Base Prospectus to EUR 6,000,000,000 Debt Issuance Programme
05.12.2014
05.12.2014
Siemens AG
Supplement
2nd Supplement to Base Prospectus € 15,000,000,000 Programme for the Issuance of Debt Instruments
05.12.2014
05.12.2014
EVONIK INDUSTRIES AG
Supplement
2nd Supplement to Base Prospectus EUR 3,000,000,000 Debt Issuance Programme
08.12.2014
08.12.2014
Merck KGaA
Non-equity securities
Prospectus to Subordinated Fixed to Reset Rate Notes due 2074 with a First Call Date 2021and EUR and
Subordinated Fixed to Reset Rate Notes due 2074 with a First Call Date 2024
08.12.2014
08.12.2014
Citigroup Inc.
Supplement
6th Supplement to Base Prospectus U.S.$ 110,000,000,000 Programme for the issuance of Euro
Medium-Term Notes, Series B
11.12.2014
11.12.2014
DZ Bank AG Deutsche
Zentral-Genossenschaftsbank
Base prospectus
Base Prospectus to Debt Issuance Programme
12.12.2014
12.12.2014
Raiffeisen Bank International AG
Supplement
3rd Supplement to Base Prospectus EUR 25,000,000,000 Debt Issuance Programme for the issue of Notes
12.12.2014
12.12.2014
National Australia Bank Limited
Base prospectus
Base Prospectus to U.S.$100,000,000,000 Global Medium Term Note Programme
15.12.2014
15.12.2014
Morgan Stanley
Base prospectus
Base Prospectus to Regulation S Program for the Issuance of Notes, Series A and Series B, Warrants and
Certificates
16.12.2014
17.12.2014
NATIXIS
Base prospectus
Base Prospectus to Zertifikate
18.12.2014
18.12.2014
TE Connectivity Ltd. (ehem.Tyco
Electronics Ltd.)
Equity securities
Prospectus to Offer Shares of Under the Employee Stock Purchase Plan
18.12.2014
18.12.2014
Deutsche Lufthansa AG
Supplement
1st Supplement to Base Prospectus EUR 4,000,000,000 Debt Issuance Programme
19.12.2014
19.12.2014
HeidelbergCement AG
Supplement
3rd Supplement to Base Prospectus €10,000,000,000 Euro Medium Term Note Programme
19.12.2014
19.12.2014
Societe Generale
Supplement
Supplement to Base Prospectus Debt Instruments Issuance Programme
18.12.2014
19.12.2014
Raiffeisenlandesbank
Oberösterreich AG
Base prospectus
Base Prospectus to Debt Issuance Programme
22.12.2014
22.12.2014
UniCredit S.p.A.
Supplement
3rd Supplement to Base Prospectus €60,000,000,000 EURO MEDIUM TERM NOTE PROGRAMME
23.12.2014
23.12.2014
XS1152338072
Raiffeisenlandesbank
Ober
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
UniCredit Bank Austria AG
Issuer
Type of prospectus
Supplement
Prospectus/Supplement
ISIN
Date of prospectus
Received
30.12.2014
31.12.2014
Date of prospectus
Received
07.05.2014
12.05.2014
ISIN
Date of prospectus
Received
LI0248346582
03.11.2014
27.11.2014
03.11.2014
16.12.2014
Date of prospectus
Received
3rd Supplement to Base Prospectus €40,000,000,000 Euro Medium Term Note Programme for the issue of
Notes including Pfandbriefe, Jumbo-Pfandbriefe and Covered Bank Bonds due from one month to 40 years
from the date of issue
Type of prospectus
Prospectus/Supplement
ISIN
CNB - Czech National Bank (CZ)
Pivovary Lobkowicz Group, a.s.
Issuer
Equity securities
Prospectus to Offering of up to 5,700,000 book-entry ordinary shares
Type of prospectus
Prospectus/Supplement
FMA LI - Finanzmarktaufsicht Liechtenstein (LI)
BAERG MARTI (Liechtenstein)
AG
Equity securities
Prospectus to die Begebung von Schuldverschreibungen unter der Bezeichnung Baerg Marti Floating Rate
Note 2014-2019
BAERG MARTI (Liechtenstein)
AG
Supplement
1st Supplement to Prospectus für die Begebung einer Schuldverschreibung
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
- Irish Financial Services Regulatory Authority (IE)
UBS AG
Supplement
Supplement to the Base Prospectus Euro Note Programme
02.01.2014
06.01.2014
Nomura Bank International plc
Base prospectus
Base Prospectus to Note, Warrant and Certificate Programme
25.06.2013
08.01.2014
Nomura Bank International plc
Supplement
Supplement to Base Prospectus to Note, Warrant and Certificate Programme
06.08.2013
08.01.2014
Nomura Bank International plc
Supplement
Supplement to Base Prospectus to Note, Warrant and Certificate Programme
29.11.2013
08.01.2014
UBS AG
Base prospectus
Base Prospectus to Covered Bond Programme
08.01.2014
08.01.2014
Source Commodity Markets plc.
Base prospectus
Base Prospectus to up To 100,000,000 Source Treasury Bill Secured ETC S&P GSCI® Energy Total Return
Index Linked Certificates due 2059 Series 07 issued pursuant to the T-Bill Secured ETC Programme
17.01.2014
17.01.2014
Source Commodity Markets plc.
Base prospectus
Base Prospectus to Up To 100,000,000 Source Treasury Bill Secured ETC S&P GSCI® Crude Oil Enhanced
Total Return Index Linked Certificates due 2059 Series 23 issued pursuant to the T-Bill Secured ETC
17.01.2014
17.01.2014
(to be continued)
DVR 0937487
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28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Programme
Base prospectus
Base Prospectus to Up To 100,000,000 Source Treasury Bill Secured ETC S&P GSCI® Agriculture Total
Return Index Linked Certificates due 2059 Series 01 issued pursuant to the T-Bill Secured ETC Programme
17.01.2014
17.01.2014
Source Commodity Markets plc.
Base prospectus
Base Pospectus to T-Bill Secured ETC Programme
17.01.2014
17.01.2014
Source Commodity Markets plc.
Base prospectus
Base Prospectus Up To 100,000,000 Source Treasury Bill Secured ETC S&P GSCI® Industrial Metals Total
Return Index Linked Certificates due 2059 Series 11 issued pursuant to the T-Bill Secured ETC Programme
17.01.2014
17.01.2014
Source Commodity Markets plc.
Base prospectus
Base Prospectus to up to 100,000,000 Source Treasury Bill Secured ETC S&P GSCI® Gold TotalReturn Index
Linked Certificates due 2059 Series 09 issued pursuant to the T-Bill Secured ETC Programme
17.01.2014
17.01.2014
MBA Community Loans PLC
Base prospectus
Base Prospectus to €1,000,000,000 Secured Limited Recourse Note Programme
28.01.2014
31.01.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to €50,000,000,000 Euro Medium Term Note Programme
05.02.2014
05.02.2014
Nordea Bank AB (publ)
Supplement
5th Supplement to Base Prospectus €40,000,000,000 Euro Medium Term Note Programme
06.02.2014
07.02.2014
Standard Bank Plc
Supplement
Supplement to Base Prospectus U.S.$3,500,000,000 Note Issuance Programme
07.02.2014
07.02.2014
Nordea Bank AB (publ)
Supplement
1st Supplement to €10,000,000,000 Structured Note Programme
14.02.2014
17.02.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
14.02.2014
17.02.2014
UBS AG
Supplement
Supplement to Base Prospectus EURO NOTE PROGRAMME
20.02.2014
20.02.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
03.03.2014
04.03.2014
Royal Bank of Canada
Supplement
4th Supplement to Base Prospectus Structured Securities Pursuant to the Programme for the Issuance of
Securities
07.03.2014
07.03.2014
Citigroup Inc.
Supplement
2nd Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme
10.03.2014
12.03.2014
Nordea Bank AB (publ)
Supplement
2nd Supplement to Base Prospectus €10,000,000,000 Structured Note Programme
12.03.2014
12.03.2014
Citigroup Inc.
Supplement
3rd Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme
12.03.2014
13.03.2014
Source Physical Markets plc.
Base prospectus
Base Prospectus to SECURED PRECIOUS METALS-LINKED CERTIFICATES PROGRAMME
04.04.2014
04.04.2014
Nomura Bank International plc
Base prospectus
Base Prospectus to Note, Warrant and Certificate Programme
14.03.2014
07.04.2014
UBS AG
Supplement
Supplement to Base Prospectus COVERED BOND PROGRAMME
10.04.2014
10.04.2014
Supplement
Supplement to Base Prospectus EURO NOTE PROGRAMME
25.04.2014
25.04.2014
Base prospectus
Base Prospectus to €50,000,000,000 Euro Medium Term Note Programme
08.05.2014
08.05.2014
UBSAG
Source Commodity Markets plc.
Nordea Bank AB (publ)
(to be continued)
DVR 0937487
Page 45 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
09.05.2014
12.05.2014
Citigroup Inc.
Supplement
4th Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme - Rates
28.05.2014
29.05.2014
Citigroup Inc.
Supplement
3rd Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme Underlying Linked Notes
28.05.2014
29.05.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
30.05.2014
03.06.2014
UBS AG
Supplement
Supplement to Base Prospectus EURO NOTE PROGRAMME
30.05.2014
03.06.2014
Royal Bank of Canada
Supplement
5th Supplement to Base Prospectus Structured Securities Pursuant to the Programme for the Issuance of
Securities
10.06.2014
11.06.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
25.06.2014
25.06.2014
UBS AG
Base prospectus
Base Prospectus to Euro Note Programme
24.06.2014
25.06.2014
Citigroup Inc.
Supplement
4th Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme
02.07.2014
04.07.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
03.07.2014
04.07.2014
Citigroup Inc.
Supplement
4th Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme
02.07.2014
07.07.2014
Citigroup Inc.
Base prospectus
Base Prospectus to Citi U.S.$30,000,000,000 Global Medium Term Note Programme
22.07.2014
28.07.2014
Citigroup Inc.
Supplement
4th Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme Underlying Linked Notes Base Prospectus
25.07.2014
29.07.2014
Citigroup Inc.
Supplement
5th Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme Underlying Linked Notes Base Prospectus
25.07.2014
31.07.2014
Nomura Bank International plc
Supplement
2nd Supplement to Base Prospectus Note, Warrant and Certificate Programme
01.08.2014
06.08.2014
Nomura Bank International plc
Supplement
1st Supplement to Base Prospectus Note, Warrant and Certificate Programme
01.08.2014
06.08.2014
Nordea Bank AB (publ)
Supplement
3rd Supplement to Base Prospectus €10,000,000,000 Structured Note Programme
01.08.2014
06.08.2014
Nordea Bank AB (publ)
Supplement
1st Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
01.08.2014
06.08.2014
Royal Bank of Canada
Base prospectus
Base Prospectus to Pursuant to the Programme for the Issuance of Securities
29.07.2014
06.08.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
15.08.2014
18.08.2014
DVR 0937487
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Supplement
1st Supplement to the Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme
27.08.2014
27.08.2014
Citigroup Inc.
Supplement
Supplements to Base Prospectus Citi U.S.§30,000,000,000 Global Medium Term Note
28.08.2014
28.08.2014
Source Physical Markets plc.
Supplement
Supplement to Base Prospectus to Secured Precious Metals-Linked Certificates Programme
28.08.2014
28.08.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus
29.08.2014
01.09.2014
MBA Community Loans PLC
Base prospectus
Base Prospectus to €1,000,000,000 Secured Limited Recourse Note Programme
05.09.2014
08.09.2014
Toyota Motor Finance
(Netherlands) B.V.
Base prospectus
Base Prospectus to €50,000,000,000 Euro Medium Term Note Programme
12.09.2014
15.09.2014
Royal Bank of Canada
Supplement
1st Supplement to Base Prospectus Structured Securities Pursuant to the Programme for the Issuance of
Securities
23.09.2014
24.09.2014
Citigroup Inc.
Base prospectus
Base Prospectus to Citi U.S.$30,000,000,000 Global Medium Term Note Programme
25.09.2014
29.09.2014
UBS GROUP AG
Equity securities
Prospectus to Proposed issue of up to 3,910,456,942 UBS Group Shares in connection with the exchange
offer for UBS Shares
30.09.2014
30.09.2014
Nomura Bank International plc
Base prospectus
Base Prospectus to USD 4,500,000,000 NOTE, WARRANT AND CERTIFICATE PROGRAMME
12.09.2014
16.10.2014
UBS AG
Supplement
Supplement to Prospectus relating to the proposed issue of up to 3,910,456,942 UBS Group Shares in
connection with the exchange offer for UBS Shares
03.11.2014
03.11.2014
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
06.11.2014
06.11.2014
Nordea Bank AB (publ)
Supplement
2nd Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
07.11.2014
07.11.2014
Nordea Bank AB (publ)
Supplement
4th Supplement to Base Prospectus €10,000,000,000 Structured Note Programme
07.11.2014
07.11.2014
UBS GROUP AG
Equity securities
Prospectus to of up to 7,000,000 registered shares with a par value of CHF 0.10 each of UBS GROUP AG,
under the Equity Plus Plan
14.11.2014
14.11.2014
UBS GROUP AG
Supplement
Supplement to Prospectus relating to the proposed issue of up to 3,910,456,942 UBS Group Shares in
connection with the exchange offer for UBS Shares
14.11.2014
14.11.2014
Nomura Bank International plc
Supplement
1st Supplement to Base Prospectus NOTE, WARRANT AND CERTIFICATE PROGRAMME
14.11.2014
18.11.2014
UBS GROUP AG
Equity securities
Prospectus to Proposed issue of up to an estimated 400,000,000 UBS Group Shares in connection with the
subsequent offer period of the exchange offer for UBS Shares
25.11.2014
25.11.2014
Royal Bank of Canada
Supplement
2nd Supplement to Base Prospectus Pursuant to the Programme for the Issuance of Securities
26.11.2014
27.11.2014
Citigroup Inc.
Supplement
28.11.2014
01.12.2014
Citigroup Inc.
Supplement
01.12.2014
02.12.2014
1stSuplemnoBaPrcCiU.$30,GbMdTNg
Citigroup Inc.
2nd Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme
CH247704312
CH247704312
(to be continued)
DVR 0937487
Page 47 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Toyota Motor Finance
(Netherlands) B.V.
Supplement
Supplement to Base Prospectus €50,000,000,000 Euro Medium Term Note Programme
01.12.2014
02.12.2014
UBS AG
Supplement
Supplement to Base Prospectus EURO NOTE PROGRAMME
04.12.2014
05.12.2014
Nomura Bank International plc
Supplement
2nd Supplement to Base Prospectus NOTE, WARRANT AND CERTIFICATE PROGRAMME
04.12.2014
08.12.2014
Citigroup Inc.
Supplement
2nd Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme Underlying Linked Notes
18.12.2014
19.12.2014
Citigroup Inc.
Supplement
3rd Supplement to Base Prospectus Citi U.S.$30,000,000,000 Global Medium Term Note Programme
18.12.2014
19.12.2014
Nordea Bank AB (publ)
Base prospectus
Base Prospectus to €10,000,000,000 Structured Note Programme
19.12.2014
23.12.2014
Date of prospectus
Received
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
FCA - The Financial Conduct Authority (GB)
Australia and New Zealand
Banking Group Limited
Supplement
Supplement to US$60,000,000,000 Euro Medium Term Note Programme
03.01.2014
06.01.2014
HSBC Bank plc
Supplement
Supplement to Base Prospectus to the Programme for the Issuance of Notes and Warrants
22.01.2014
22.01.2014
Westpac Banking Corpration
Supplement
Supplement to Base Prospectus U.S. $70,000,000,000 Programme for the Issuance of Debt Instruments
17.01.2014
22.01.2014
ETFS Hedged Commodity
Securities Limited
Base prospectus
Base Prospectus to Currency-Hedged Commodity Securities
06.02.2014
07.02.2014
Australia and New Zealand
Banking Group Limited
Supplement
Supplement to Base Prospectus US$60,000,000,000 Euro Medium Term Note Programme
17.02.2014
18.02.2014
Nestlé Holdings, Inc.
Supplement
Supplement to Base Prospectus Debt Issuance Programme
17.02.2014
18.02.2014
Commonwealth Bank of
Australia
Supplement
Supplement to U.S.$70,000,000,000 Euro Medium Term Note Programme
18.02.2014
24.02.2014
Australia and New Zealand
Banking Group Limited
Supplement
Supplement to Base Prospectus US$60,000,000,000 Euro Medium Term Note Programme
25.02.2014
26.02.2014
ETFS Hedged Metal Securities
Limited
Base prospectus
Base Prospectus to ETFS Currency-Hedged Metal Securities
04.03.2014
05.03.2014
HSBC Bank plc
Supplement
Supplement to Base Prospectus to Programme for the Issuance of Notes and Warrants
14.03.2014
17.03.2014
ETFS Equity Securities Limited
Base prospectus
Base Prospectus for the issuance of ETFS Short Equity Securities and ETFS Leveraged Equity Securities
24.03.2014
24.03.2014
Nestlé Holdings, Inc.
Supplement
Supplement to the Debt Issuance Programme
28.03.2014
31.03.2014
(to be continued)
DVR 0937487
Page 48 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Type of prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Australia and New Zealand
Banking Group Limited
Supplement
Supplement to Base Prospectus US$60,000,000,000 Euro Medium Term Note Programme
01.05.2014
02.05.2014
Australia and New Zealand
Banking Group Limited
Base prospectus
Base Prospectus to US$60,000,000,000 Euro Medium Term Note Programme
16.05.2014
21.05.2014
Nestlé Holdings, Inc.
Base prospectus
Base Prospectus to Debt Issuance Programme
21.05.2014
22.05.2014
DB ETC PLC
Base prospectus
Base Prospectus to Secured ETC Precious Metal Linked Securities Programme
27.05.2014
28.05.2014
Commonwealth Bank of
Australia
Base prospectus
Base Prospectus to U.S.$70,000,000,000 Euro Medium Term Note Programme
24.06.2014
24.06.2014
ETFS Foreign Exchange Limited
Base prospectus
Base Prospectus to Collateralised Currency Securities
23.06.2014
24.06.2014
ETFS Commodity Securities
Limited
Base prospectus
Base Prospectus to ETFS Classic Commodity Securities and ETFS Longer Dated Commodity Securities
24.06.2014
25.06.2014
ETFS Commodity Securities
Limited
Base prospectus
Base Prospectus to ETFS Short Commodity Securities and ETFS Leveraged Commodity Securities
24.06.2014
25.06.2014
ETFS Hedged Commodity
Securities Limited
Base prospectus
Base Prospectus to Currency-Hedged Commodity Securities
24.06.2014
25.06.2014
ETFS Metal Securities Limited
Base prospectus
Base Prospectus to ETFS Metal Securities
15.08.2014
15.08.2014
Gold Bullion Securities Limited
Base prospectus
Base Prospectus to Programme for the Issue of up to 1,000,000,000 Gold Bullion Securities
15.08.2014
15.08.2014
Commonwealth Bank of
Australia
Supplement
Supplement to Base Prospectus U.S.$70,000,000,000 Euro Medium Term Note Programme
18.08.2014
19.08.2014
Nestlé Holdings, Inc.
Supplement
Supplement to Base Prospectus Debt Issuance Programme
22.08.2014
22.08.2014
ETFS Oil Securities Limited
Base prospectus
Base Prospectus to the Programme for the issue of Energy Securities
28.08.2014
28.08.2014
ETFS Foreign Exchange Limited
Base prospectus
Base Prospectus to Collateralised Currency Securities
19.09.2014
22.09.2014
ETFS Hedged Metal Securities
Limited
Base prospectus
Base Prospectus to ETFS Currency-Hedged Metal Securities
19.09.2014
22.09.2014
ETFS Equity Securities Limited
Base prospectus
Base Prospectus to ETFS Short Equity Securities and ETFS Leveraged Equity Securities
24.09.2014
25.09.2014
ETFS Commodity Securities
Limited
Supplement
Supplement to Base Prospectus ETFS Short Commodity Securities and ETFS Leveraged Commodity
Securities
26.09.2014
29.09.2014
Australia and New Zealand
Banking Group Limited
Supplement
Supplement to Base Prospectus US$60,000,000,000 Euro Medium Term Note Programme
11.11.2014
11.11.2014
Australia and New Zealand
Banking Group Limited
Supplement
Supplement to Base Prospectus US$60,000,000,000 Euro Medium Term Note Programme
29.08.2014
13.11.2014
(to be continued)
DVR 0937487
Page 49 of 50
28 Dec 2016
FMA Prospectus Supervision: List of incoming notifications pursuant to Art. 10 par. 9 Capital Market Act (CMA) - 2014
Issuer
Westpac Banking Corpration
DVR 0937487
Type of prospectus
Base prospectus
Prospectus/Supplement
ISIN
Date of prospectus
Received
Base Prospectus to U.S. $70,000,000,000 Programme for the Issuance of Debt Instruments
28 Dec 2016

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