{"templateId":"markdown","sharedDataIds":{"sidebar":"sidebar-co-listing/sidebars.yaml"},"props":{"metadata":{"markdoc":{"tagList":[]},"type":"markdown"},"seo":{"title":"Purpose","llmstxt":{"hide":true}},"dynamicMarkdocComponents":[],"compilationErrors":[],"ast":{"$$mdtype":"Tag","name":"article","attributes":{},"children":[{"$$mdtype":"Tag","name":"p","attributes":{},"children":["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."]},{"$$mdtype":"Tag","name":"Heading","attributes":{"level":2,"id":"purpose","__idx":0},"children":["Purpose"]},{"$$mdtype":"Tag","name":"p","attributes":{},"children":["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."]},{"$$mdtype":"Tag","name":"blockquote","attributes":{},"children":[{"$$mdtype":"Tag","name":"p","attributes":{},"children":["Note: The provided data is not shared with possible co-listers and is only shared with NYALA & the liability umbrella (Concedus)."]}]},{"$$mdtype":"Tag","name":"Heading","attributes":{"level":2,"id":"prerequisites","__idx":1},"children":["Prerequisites"]},{"$$mdtype":"Tag","name":"ul","attributes":{},"children":[{"$$mdtype":"Tag","name":"li","attributes":{},"children":["A project was already created"]},{"$$mdtype":"Tag","name":"li","attributes":{},"children":["A token was already created"]}]},{"$$mdtype":"Tag","name":"Heading","attributes":{"level":2,"id":"documents-to-be-provided","__idx":2},"children":["Documents to be provided"]},{"$$mdtype":"Tag","name":"p","attributes":{},"children":["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."]},{"$$mdtype":"Tag","name":"p","attributes":{},"children":["For document uploads, the following formats are accepted:"]},{"$$mdtype":"Tag","name":"ul","attributes":{},"children":[{"$$mdtype":"Tag","name":"li","attributes":{},"children":[".pdf"]},{"$$mdtype":"Tag","name":"li","attributes":{},"children":[".doc"]},{"$$mdtype":"Tag","name":"li","attributes":{},"children":[".docx"]},{"$$mdtype":"Tag","name":"li","attributes":{},"children":[".jpg"]},{"$$mdtype":"Tag","name":"li","attributes":{},"children":[".png"]}]},{"$$mdtype":"Tag","name":"Heading","attributes":{"level":2,"id":"1-business-and-operations-documents","__idx":3},"children":["1) Business and Operations documents"]},{"$$mdtype":"Tag","name":"div","attributes":{"className":"md-table-wrapper"},"children":[{"$$mdtype":"Tag","name":"table","attributes":{"className":"md"},"children":[{"$$mdtype":"Tag","name":"thead","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Parameter"},"children":["Parameter"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Description"},"children":["Description"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Example Values"},"children":["Example Values"]}]}]},{"$$mdtype":"Tag","name":"tbody","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["List of shareholders"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Document identifying all shareholders of the legal entity, including their names, shareholding percentages, and share classes."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":[".pdf with Shareholders register listing Müller GmbH (60%), Anna Schmidt (25%), and Thomas Bauer (15%); notarized shareholder list dated 2024-03-01"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Extract from the commercial register"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Official excerpt from the relevant commercial register confirming the entity's legal existence, registered address, and authorized representatives."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":[".pdf of Handelsregisterauszug (HRB 123456, Amtsgericht Frankfurt);"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Certificate of incorporation"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Formal document issued by the registering authority confirming the legal establishment of the entity."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":[".pdf of Gründungsurkunde issued by Amtsgericht München, dated 2018-06-15"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Memorandum of association"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Founding document setting out the entity's name, purpose, registered office, and initial share structure as agreed by the founding members"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":[".pdf of Gesellschaftsvertrag der Example GmbH, notarized 2018-06-15"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Organizational chart at personell level"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Chart depicting the internal management structure, including named directors, officers, and key function holders."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":[".pdf of org chart showing CEO \"Max Doe\", CFO \"Anna Smith\", and two subsidiary managing directors; signed and dated by legal representative"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Organizational chart at shareholder level"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":[".pdf of chart illustrating the ownership structure across all legal entity layers, identifying direct and indirect shareholders up to the ultimate beneficial owner (UBO)."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":[".pdf of group structure chart showing Parent HoldCo S.A. (Luxembourg) → Intermediate BV (Netherlands) → Operating GmbH (Germany); UBO identified as Max Mustermann (85%)"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Creditreform report"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Third-party credit assessment report issued by Creditreform, summarizing the entity's financial standing, payment history, and credit rating."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Copy of Creditreform \"Credit worthiness report\" for Beispiel GmbH, report date 2024-01-10"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Tax number"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Identifier assigned by the national tax authority to the legal entity for domestic tax purposes."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["DE-Steuernummer: 181/815/08150 (Finanzamt München)"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["VAT-ID"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["EU-harmonized value-added tax identification number used to identify the entity for cross-border transactions within the European Union."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["DE345678901 (Germany)"]}]}]}]}]},{"$$mdtype":"Tag","name":"Heading","attributes":{"level":2,"id":"2-project-documents","__idx":4},"children":["2) Project Documents"]},{"$$mdtype":"Tag","name":"div","attributes":{"className":"md-table-wrapper"},"children":[{"$$mdtype":"Tag","name":"table","attributes":{"className":"md"},"children":[{"$$mdtype":"Tag","name":"thead","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Parameter"},"children":["Parameter"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Description"},"children":["Description"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Example Values"},"children":["Example Values"]}]}]},{"$$mdtype":"Tag","name":"tbody","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Business plan with description of the business model"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Document outlining the entity's strategic objectives, operational model, target market, and projected financial development."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["3-year business plan including revenue model, customer segments, and P&L forecast; executive summary with description of the issuer's platform"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Presentations, pitch decks, etc."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Slide-based materials summarizing the entity's business model, market positioning, or investment case for internal or external audiences."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Investor pitch deck (Series A, 2024)"]}]}]}]}]},{"$$mdtype":"Tag","name":"Heading","attributes":{"level":2,"id":"3-issuance-information-documents","__idx":5},"children":["3) Issuance Information Documents"]},{"$$mdtype":"Tag","name":"div","attributes":{"className":"md-table-wrapper"},"children":[{"$$mdtype":"Tag","name":"table","attributes":{"className":"md"},"children":[{"$$mdtype":"Tag","name":"thead","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Parameter"},"children":["Parameter"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Description"},"children":["Description"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Example Values"},"children":["Example Values"]}]}]},{"$$mdtype":"Tag","name":"tbody","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Securities documentation"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Securities Documentation (or Investment Documentation)"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Securities prospectus approved by BaFin, ISIN DE000A3H2XY1; information memorandum for EUR 5M bond issuance, dated 2024-02-01"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Risk warnings"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Standardized disclosures informing investors or borrowers of material risks associated with a financial product or transaction."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Risk warning notice for subordinated loan product per VermAnlG §13; BaFin-compliant risk disclosure sheet for crowd investment offering"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Cancellation policy"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Document specifying the conditions, deadlines, and procedures under which a contract or transaction may be cancelled by an eligible party."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["14-day right of withdrawal notice per §355 BGB; cancellation policy for consumer loan agreement including withdrawal form template"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["EGBGB consumer information"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Mandatory pre-contractual information provided to consumers in accordance with the Introductory Act to the German Civil Code (EGBGB), typically for credit or financial service agreements."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Pre-contractual information sheet for consumer credit per Art. 247 EGBGB"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Marketing materials"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Marketing material related to the investment offer"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Product brochure for SME loan offering"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Subscription documents (optional)"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Contractual documents completed by an investor or borrower to formally commit to participation in a financial product or investment offering."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":[".pdf of to be signed subscription agreement"]}]}]}]}]},{"$$mdtype":"Tag","name":"Heading","attributes":{"level":2,"id":"3-financial-information-documents","__idx":6},"children":["3) Financial Information Documents"]},{"$$mdtype":"Tag","name":"div","attributes":{"className":"md-table-wrapper"},"children":[{"$$mdtype":"Tag","name":"table","attributes":{"className":"md"},"children":[{"$$mdtype":"Tag","name":"thead","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Parameter"},"children":["Parameter"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Description"},"children":["Description"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Example Values"},"children":["Example Values"]}]}]},{"$$mdtype":"Tag","name":"tbody","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Annual financial statements for the last 3 years"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Audited or certified yearly financial statements covering balance sheet, income statement, and notes for the three most recently completed fiscal years."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Annual accounts FY2021–FY2023 including auditor's report"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Current business assessment (BWA / Betriebswirtschaftliche Auswertung"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Recent internal financial overview structured as a profit and loss statement, reflecting the entity's current trading performance for the ongoing fiscal year."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["BWA (Betriebswirtschaftliche Auswertung) as of 2024-09-30, issued by DATEV"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Target figures for the following 3 years"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Forward-looking financial projections regarding the issuer's expected revenue for the subsequent three fiscal years."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Total aggregated revenue forecast for the current + following three fiscal years, e.g. \"35.500.000 EUR\""]}]}]}]}]},{"$$mdtype":"Tag","name":"Heading","attributes":{"level":2,"id":"4-concedus-contracts--agreements","__idx":7},"children":["4) Concedus Contracts & agreements"]},{"$$mdtype":"Tag","name":"blockquote","attributes":{},"children":[{"$$mdtype":"Tag","name":"p","attributes":{},"children":[{"$$mdtype":"Tag","name":"strong","attributes":{},"children":["If Concedus is involved in the process of co-listing"]}," (i.e. the co-listing takes place under MiFID), then you, as the Origintor, also need to provide the documents required by our liability umbrella partner Concedus GmbH."]}]},{"$$mdtype":"Tag","name":"p","attributes":{},"children":["You can download these documents directly from the co-listing request creation flow. You only need to sign and re-upload them."]},{"$$mdtype":"Tag","name":"div","attributes":{"className":"md-table-wrapper"},"children":[{"$$mdtype":"Tag","name":"table","attributes":{"className":"md"},"children":[{"$$mdtype":"Tag","name":"thead","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Parameter"},"children":["Parameter"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Description"},"children":["Description"]},{"$$mdtype":"Tag","name":"th","attributes":{"data-label":"Example Values"},"children":["Example Values"]}]}]},{"$$mdtype":"Tag","name":"tbody","attributes":{},"children":[{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Consent electronic invoicing"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Signed declaration by the entity agreeing to receive invoices exclusively in electronic form, using the template provided by Concedus."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Signed Concedus original template"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Company direct debit mandate"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Signed SEPA direct debit mandate authorizing Concedus to collect due amounts directly from the entity's designated business bank account, using the template provided by Concedus."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Signed Concedus original template"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Information reliability"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Signed declaration by the entity confirming the accuracy, completeness, and reliability of all information and documents submitted to Concedus, using the template provided by Concedus."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Signed Concedus original template"]}]},{"$$mdtype":"Tag","name":"tr","attributes":{},"children":[{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Brokerage agreement"]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Signed agreement between the entity and Concedus governing the terms of the brokerage relationship, using the template provided by Concedus."]},{"$$mdtype":"Tag","name":"td","attributes":{},"children":["Signed Concedus original template"]}]}]}]}]}]},"headings":[{"value":"Purpose","id":"purpose","depth":2},{"value":"Prerequisites","id":"prerequisites","depth":2},{"value":"Documents to be provided","id":"documents-to-be-provided","depth":2},{"value":"1) Business and Operations documents","id":"1-business-and-operations-documents","depth":2},{"value":"2) Project Documents","id":"2-project-documents","depth":2},{"value":"3) Issuance Information Documents","id":"3-issuance-information-documents","depth":2},{"value":"3) Financial Information Documents","id":"3-financial-information-documents","depth":2},{"value":"4) Concedus Contracts & agreements","id":"4-concedus-contracts--agreements","depth":2}],"frontmatter":{"seo":{"title":"Purpose"}},"lastModified":"2026-05-20T13:40:24.000Z","pagePropGetterError":{"message":"","name":""}},"slug":"/co-listing/required-documents-for-co-listing","userData":{"isAuthenticated":false,"teams":["anonymous"]},"isPublic":true}