Deutsche Bank

Disclosures

European Union Regulatory Background

Under European Union law, banks and investment firms are required to obtain authorization from their relevant supervisory authority in order to carry out regulated banking and investment service activities.

Within the European Economic Area (“EEA”), authorization to undertake these activities is obtained from the supervisory authority of the country where a bank has its head office (the “home state authority”). In some cases the home state authority will comprise more than one supervisory authority.

The home state authority is responsible for supervising banks’ systems and controls, their financial adequacy and their overall conduct. In addition, the home state authority is responsible for investor compensation and depositor protection schemes.

Banks may offer banking and investment services in other EEA member states (known as “host states”) under a so-called “European Passport”.

This passport, which specifies permitted activities, is granted by the home state authority. The presence of such a bank in the host state – provided it is not a separate legal entity from the bank – is referred to as a “branch” (under Article 4(3) of the Banking Consolidation Directive (Recast) (2006/48/EC)).

EEA member state supervisory authorities are required to maintain public registers of banks authorized to carry out activities in their jurisdiction.

A host state authority will rely on the home state authority to ensure that the systems, controls and financial adequacy of a bank are in good order. To the extent that activities are carried out within its jurisdiction, the host state authority supervises the conduct of banks. This includes, for example, rules on treating clients fairly and rules governing a bank’s conduct in the securities market.

 

Corporate and Regulatory Disclosures

Deutsche Bank Group

Deutsche Bank Group comprises Deutsche Bank Aktiengesellschaft (“Deutsche Bank AG” or “the Bank”), together with its subsidiaries. The Bank and those subsidiaries are authorized and/or regulated by regulatory authorities in their country of incorporation as well as, in some instances, by regulatory authorities in other jurisdictions. The Bank’s subsidiaries include banks, securities companies and financial services providers.

The following links will take you to corporate and regulatory disclosures relating to selected Deutsche Bank Group subsidiaries registered and/or incorporated in the European Union:
Austria
Belgium
Czech Republic
Denmark
Finland
France
Greece
Germany
Hungary
Ireland
Italy
Luxembourg
Malta
Netherlands
Poland
Spain
Sweden
United Kingdom

The following links will bring you to corporate and regulatory disclosures for selected Deutsche Bank Group subsidiaries in:
Norway
Switzerland


About Deutsche Bank AG

United Kingdom

 

Deutsche Bank AG, London Branch

Deutsche Bank AG (“the Bank”) is a joint stock corporation incorporated with limited liability in the Federal Republic of Germany. It is registered in the Commercial Register of the District Court, Frankfurt am Main under number HRB 30 000.

The Bank is authorized under German Banking Law and is regulated by ‘BaFin’, Germany’s Federal Financial Supervisory Authority.

The Bank is also authorized by the UK’s Prudential Regulation Authority (“PRA”). It is subject to limited regulation by the UK’s Financial Conduct Authority (“FCA”) (under number 150018) and by the PRA. Details about the extent of the Bank’s authorization and regulation by the PRA, and its regulation by the FCA, are available from the Bank on request.

The Bank is registered as a foreign company in the register of companies for England and Wales (registration number FC007615).

The Bank carries on banking and investment services in the United Kingdom through Deutsche Bank AG, London Branch (‘London Branch’) under the Bank’s BaFin-authorized European Passport.

Deutsche Bank AG, London Branch is registered as a branch in the register of companies for England and Wales (registration number BR000005). Its registered address is Winchester House, 1 Great Winchester Street, London EC2N 2DB.

In addition to its above authorizations, the Bank is authorized by the FCA to carry on investment services in precious metals.

London Branch is also listed as a member of the London Stock Exchange.

 

Deutsche Bank Group UK Subsidiaries

The following UK-incorporated subsidiaries of Deutsche Bank AG are authorized and/or regulated as indicated below.

 
Abbey Life Assurance Company Limited

Authorized by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority with firm reference number 117645. Registered in the register of companies for England & Wales under number 710383 and having its registered office at Winchester House, 1 Great Winchester Street, London EC2N 2DB.

 
DB PWM Collective Management Limited

Authorized and regulated by the Financial Conduct Authority with firm reference number 170547. Registered in the register of companies for England & Wales under number 2911650 and having its registered office at Royal Liver Building, Pier Head, Liverpool L3 1NY.

 
DB UK Bank Limited

Authorized by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and Prudential Regulation Authority with firm reference number 140848. Registered in the register of companies for England & Wales under number 315841 and having its registered office at 23 Great Winchester Street, London EC2P 2AX.

 
Deutsche Alternative Asset Management (Global) Limited

Authorized and regulated by the Financial Conduct Authority with firm reference number 458997. Registered in the register of companies for England & Wales under number 5603289 and having its registered office at Winchester House, 1 Great Winchester Street, London EC2N 2DB.

 
Deutsche Alternative Asset Management (UK) Limited

Authorized and regulated by the Financial Conduct Authority with firm reference number 146000. Registered in the register of companies for England & Wales under number 2478500 and having its registered office at 1 Appold Street, London EC2A 2UU.

 
Deutsche Asset Management (UK) Limited

Authorized and regulated by the Financial Conduct Authority with firm reference number 429806. Registered in the register of companies for England & Wales under number 5233891 and having its registered office at 1 Appold Street, London EC2A 2UU.

 
Deutsche Trustee Company Limited

Authorized and regulated by the Financial Conduct Authority with firm reference number 122126. Registered in the register of companies for England & Wales under number 338230 and having its registered office at Winchester House, 1 Great Winchester Street, London EC2N 2DB.

 
Tilney Investment Management

Authorized and regulated by the Financial Conduct Authority with firm reference number 124255. Registered in the register of companies for England & Wales under number 2010520 and having its registered office at Royal Liver Building, Pier Head, Liverpool L3 1NY.

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Last Update: December 4, 2013
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