Terms of Business disclosure: Art 47-49 DR and information about the firm
Article 47(1) and other information about the firm
(a) Name and address of the firm and the contact details necessary to enable clients to communicate effectively with the firm.
Deutsche Bank AG acting through its London branch (DB London) whose address is at Winchester House, 1 Great Winchester Street, London EC2N 2DB. DB London can be contacted by phone on +44 (207) 545-8000, or by e-mail to firstname.lastname@example.org.
In the event that Client (as defined in MiFID) has any issues in relation to the Terms of Business,
DB UK Bank Limited (DBUKB), a company organised under the laws of England with its registered office at 23 Great Winchester Street, London, EC2P 2AX and can be contacted by the details set out above in respect of DB London.
For the purpose of this disclosure, DB means DB London and/or DBUKB as appropriate.
Any notice to be served on DB under the Terms of Business must be in writing, in English and served on the Compliance Department, Winchester House, 1 Great Winchester Street, London EC2N 2DB. Any notice to be served on Client under these Terms of Business may be sent to Client’s head or registered office or to any other address notified by Client to DB.
(b) Languages of communication
DB will continue to communicate with Client, and Client shall communicate with DB, in English.
(c) Methods of communication
Client and DB may communicate by letter, e-mail, telephone or any other form of communication acceptable to DB, as agreed by authorised DB personnel.
(d) Information on authorisation and the firm
DBAG is authorised under German Banking Law (competent authority: European Central Bank (ECB) (contact address: Sonnemannstrasse 22, 60314 Frankfurt am Main) and the Bundesanstalt für Finanzdienstleistungsaufsicht (Germany’s Federal Financial Supervisory Authority) (BaFin) (contact address: Marie-Curie-Str. 24-28, 60439 Frankfurt am Main)) and, in the United Kingdom, by the Prudential Regulation Authority (PRA) (contact address: 20 Moorgate, London, EC2R 6DA). It is subject to supervision by the ECB and by BaFin and is subject to limited regulation in the United Kingdom by the Financial Conduct Authority (FCA) (contact address: 25 The North Colonnade, Canary Wharf, London E14 5HS) and the PRA. DBAG is a stock corporation incorporated in the Federal Republic of Germany.
DB London is included
Details about the extent of its authorisation and regulation by the PRA and regulation by the FCA are available upon request or from https://www.db.com/disclosures.
DBUKB is authorised by the PRA (contact address set out above) and regulated by the FCA (contact address set out above) and the PRA. DBUKB is included on the UK’s financial services register with Firm Reference Number 140848. The VAT registration number for DBUKB is GB 243 6097 61.
(f) Nature, frequency and timing of reports
Where DB has carried out an order on behalf of Client or executed a transaction with Client, DB will (unless otherwise agreed with Client, where permitted by Applicable Law) promptly confirm the essential details concerning the execution of the relevant transaction and provide such further information relating to the transaction as is required by Applicable Law.
Where Client’s order relates to units or shares in a collective investment undertaking which
(g) Summary of protections where firm holds client assets or client funds
Information about deposit and investor protection schemes that may be applicable to Client as a client of DB can be found at https://www.db.com/company/en/deposit-and-investor-protection.htm
(h) and (i) Summary and further details of the conflicts of interest policy
The DB Group maintains and operates permanent and effective organisational and administrative arrangements, including those referred to in clause 18 (Information Barriers and Independence), with a view to taking all appropriate steps designed to identify and prevent or manage conflicts of interest between DB (and any DB Entity or any manager, employee or tied agent) and Client or between DB’s clients that arise in the course of providing any investment services and ancillary services, or combinations thereof. Further information as to how the DB Group identifies and manages potential conflicts of interest can be found in Conflicts of Interest Policy – DB Group available at https://www.db.com/COI.
Further information on the financial instruments in relation to which DB provides services referred to above and the risks associated with them will be made available at https://www.db.com/riskdisclosures or as otherwise notified by DB to Client.
To the extent DB is holding Client assets in custody, and/or DBUKB is holding Client’s funds, information on the safeguarding of such assets and funds and the risks identified by DB in relation to the holding of Client’s assets and funds is set out in the information statement on the safekeeping of client assets and funds available at https://www.db.com/company/en/client-asset-disclosure.htm as amended or supplemented by DB from time to time.
Information on branches of Deutsche Bank AG
Deutsche Bank AG, Sydney Branch
Deutsche Bank Place
Corner of Hunter and Phillip Streets
Sydney NSW 2000
Deutsche Bank AG, Toronto Branch
199 Bay Street
Commerce Court West
Canada M5L 1E9
Deutsche Bank AG, Cayman Branch
171 Elgin Avenue, Boundary Hall
George Town, Grand Cayman KY1-1104
Deutsche Bank AG, Hongkong Branch
International Commerce Centre
1 Austin Road West
Kowloon, Hong Kong
Deutsche Bank AG, Mumbai Branch
Deutsche Bank House, Hazarimal Somani Marg
Fort, Mumbai 400 001
Deutsche Bank AG, Bangalore Branch
c/o Mumbai Branch above
Deutsche Bank AG, Chennai Branch
Deutsche Bank AG, Pune Branch
Deutsche Bank AG, Calcutta Branch
Deutsche Bank AG, Gurgaon Branch
Deutsche Bank AG, Ahmedabad Branch
Deutsche Bank AG, Jakarta Branch
Deutsche Bank Building
No. 80 Jalan Imam Bonjol
Deutsche Bank AG, Surabaya Branch
Intiland Tower, 7th Floor, Suite 6
Jalan Panglima Sudirman 101-103
Deutsche Bank AG, Tokyo Branch
Sanno Park Tower
Chiyoda-ku, Tokyo 100-6171
Deutsche Bank AG, Labuan Branch
Level 9 (G2), Main Office Tower
Financial Park Complex
87000 F.T. Labuan
Deutsche Bank AG, Manila Branch
Deutsche Bank AG, Singapore Branch
One Raffles Quay
South Tower Level 17
Deutsche Bank AG, Seoul Branch
41, Cheonggyecheon-ro, Jongno-gu
Deutsche Bank AG, Colombo Branch
Deutsche Bank AG
86 Galle Road
PO Box 314, Colombo 3
Deutsche Bank AG, Taipei Branch
13/F, 10/F & 6/F, 296 Jen Ai Road
Section 4, Cathay Life Insurance Building
Deutsche Bank AG, Bangkok Branch
63 Wireless Road
United States of America:
Deutsche Bank AG, New York Branch
60 Wall Street
New York, NY 10005
United States of America
Deutsche Bank AG, Ho Chi Minh City Branch
Ho Chi Minh City Branch
14F Saigon Centre Tower
District 1, 65 Le Loi Boulevard
Ho Chi Minh City
And such other branches as may be included in this table or otherwise notified to a Client from time to time.