This chapter focuses on the Originator's perspective on what kind of documents are required to be provided to the liability umbrella to request a co-listing.
Concedus as the liabiltiy umbrella requires specific documentation about the issuer and the about to be co-listed project for KYB/C compliance purposes. You as the originator must provide these informational documents prior to making the co-listing available to potential co-listers.
Note: The provided data is not shared with possible co-listers and is only shared with NYALA & the liability umbrella (Concedus).
- A project was already created
- A token was already created
Currently, all required documents can only be provided directly via the NYALA-Platform. An API-based way of sending Concedus-related Co-Listing documents for Concedus is not yet possible.
For document uploads, the following formats are accepted:
- .doc
- .docx
- .jpg
- .png
| Parameter | Description | Example Values |
|---|---|---|
| List of shareholders | Document identifying all shareholders of the legal entity, including their names, shareholding percentages, and share classes. | .pdf with Shareholders register listing Müller GmbH (60%), Anna Schmidt (25%), and Thomas Bauer (15%); notarized shareholder list dated 2024-03-01 |
| Extract from the commercial register | Official excerpt from the relevant commercial register confirming the entity's legal existence, registered address, and authorized representatives. | .pdf of Handelsregisterauszug (HRB 123456, Amtsgericht Frankfurt); |
| Certificate of incorporation | Formal document issued by the registering authority confirming the legal establishment of the entity. | .pdf of Gründungsurkunde issued by Amtsgericht München, dated 2018-06-15 |
| Memorandum of association | Founding document setting out the entity's name, purpose, registered office, and initial share structure as agreed by the founding members | .pdf of Gesellschaftsvertrag der Example GmbH, notarized 2018-06-15 |
| Organizational chart at personell level | Chart depicting the internal management structure, including named directors, officers, and key function holders. | .pdf of org chart showing CEO "Max Doe", CFO "Anna Smith", and two subsidiary managing directors; signed and dated by legal representative |
| Organizational chart at shareholder level | .pdf of chart illustrating the ownership structure across all legal entity layers, identifying direct and indirect shareholders up to the ultimate beneficial owner (UBO). | .pdf of group structure chart showing Parent HoldCo S.A. (Luxembourg) → Intermediate BV (Netherlands) → Operating GmbH (Germany); UBO identified as Max Mustermann (85%) |
| Creditreform report | Third-party credit assessment report issued by Creditreform, summarizing the entity's financial standing, payment history, and credit rating. | Copy of Creditreform "Credit worthiness report" for Beispiel GmbH, report date 2024-01-10 |
| Tax number | Identifier assigned by the national tax authority to the legal entity for domestic tax purposes. | DE-Steuernummer: 181/815/08150 (Finanzamt München) |
| VAT-ID | EU-harmonized value-added tax identification number used to identify the entity for cross-border transactions within the European Union. | DE345678901 (Germany) |
| Parameter | Description | Example Values |
|---|---|---|
| Business plan with description of the business model | Document outlining the entity's strategic objectives, operational model, target market, and projected financial development. | 3-year business plan including revenue model, customer segments, and P&L forecast; executive summary with description of the issuer's platform |
| Presentations, pitch decks, etc. | Slide-based materials summarizing the entity's business model, market positioning, or investment case for internal or external audiences. | Investor pitch deck (Series A, 2024) |
| Parameter | Description | Example Values |
|---|---|---|
| Securities documentation | Securities Documentation (or Investment Documentation) | Securities prospectus approved by BaFin, ISIN DE000A3H2XY1; information memorandum for EUR 5M bond issuance, dated 2024-02-01 |
| Risk warnings | Standardized disclosures informing investors or borrowers of material risks associated with a financial product or transaction. | Risk warning notice for subordinated loan product per VermAnlG §13; BaFin-compliant risk disclosure sheet for crowd investment offering |
| Cancellation policy | Document specifying the conditions, deadlines, and procedures under which a contract or transaction may be cancelled by an eligible party. | 14-day right of withdrawal notice per §355 BGB; cancellation policy for consumer loan agreement including withdrawal form template |
| EGBGB consumer information | Mandatory pre-contractual information provided to consumers in accordance with the Introductory Act to the German Civil Code (EGBGB), typically for credit or financial service agreements. | Pre-contractual information sheet for consumer credit per Art. 247 EGBGB |
| Marketing materials | Marketing material related to the investment offer | Product brochure for SME loan offering |
| Subscription documents (optional) | Contractual documents completed by an investor or borrower to formally commit to participation in a financial product or investment offering. | .pdf of to be signed subscription agreement |
| Parameter | Description | Example Values |
|---|---|---|
| Annual financial statements for the last 3 years | Audited or certified yearly financial statements covering balance sheet, income statement, and notes for the three most recently completed fiscal years. | Annual accounts FY2021–FY2023 including auditor's report |
| Current business assessment (BWA / Betriebswirtschaftliche Auswertung | Recent internal financial overview structured as a profit and loss statement, reflecting the entity's current trading performance for the ongoing fiscal year. | BWA (Betriebswirtschaftliche Auswertung) as of 2024-09-30, issued by DATEV |
| Target figures for the following 3 years | Forward-looking financial projections regarding the issuer's expected revenue for the subsequent three fiscal years. | Total aggregated revenue forecast for the current + following three fiscal years, e.g. "35.500.000 EUR" |
If Concedus is involved in the process of co-listing (i.e. the co-listing takes place under MiFID), then you, as the Origintor, also need to provide the documents required by our liability umbrella partner Concedus GmbH.
You can download these documents directly from the co-listing request creation flow. You only need to sign and re-upload them.
| Parameter | Description | Example Values |
|---|---|---|
| Consent electronic invoicing | Signed declaration by the entity agreeing to receive invoices exclusively in electronic form, using the template provided by Concedus. | Signed Concedus original template |
| Company direct debit mandate | Signed SEPA direct debit mandate authorizing Concedus to collect due amounts directly from the entity's designated business bank account, using the template provided by Concedus. | Signed Concedus original template |
| Information reliability | Signed declaration by the entity confirming the accuracy, completeness, and reliability of all information and documents submitted to Concedus, using the template provided by Concedus. | Signed Concedus original template |
| Brokerage agreement | Signed agreement between the entity and Concedus governing the terms of the brokerage relationship, using the template provided by Concedus. | Signed Concedus original template |