Commerzbank AG

Commerzbank AG is a "Credit Institution" according to Art. 4(1) [EU/575/2013].

• Commerzbank AG is provisionally registered as a Swap Dealer with the U.S. Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA ID: 0239971).
• Commerzbank AG is a Foreign Banking Organisation, supervised by the Federal Reserve Bank of New York.

Commerzbank AG is a “Financial Counterparty” (FC) according to Art. 2(8) [EU/648/2012] and as an existing clearing member with a number of CCPs also categorised as:

• ‘Category 1’ for Clearing Obligations with regards to IRS G4 [Delegated Regulation (EU/2015/2205)] and IRS NOK/SEK/PLN [Delegated Regulation (EU/2016/1178)].
• ‘Category 2’ for CDS [Delegated Regulation (EU/2016/592)]

• Commerzbank AG has been subject to variation margin requirements since March 2017 according to Art. 11 EMIR (EU/648/2012) and Delegated Regulation (EU2016/2251).
• As of 1 December 2020, Commerzbank is, based on aggregate average notional amount outstanding thresholds defined in EU delegated regulation 2016/2251 Art. 36 No. 1 (d), in scope of certain initial margin requirements in the EU.
• In addition, the bank applies US initial margin regulations for certain counterparties with US-nexus.
• To facilitate the risk management process of our counterparties Commerzbank AG provides the ISDA Regulatory self disclosure letter here (Section “EMIR”)

Commerzbank AG qualifies as a Reporting German Financial Institution for purposes of both U.S. FATCA (Foreign Account Tax Compliance Act) and the Common Reporting Standard (CRS). Commerzbank AG, its branches outside Germany and several of its subsidiaries confirm their respective status as a (Reporting) Financial Institution under locally applicable regulations through IRS (U.S. Internal Revenue Service) W forms (follow the link below under “Registration numbers – FATCA/IRS” directing you to the download site).

• Commerzbank AG would be considered a Financial Counterparty+ (FC+) according to FinfraG Art 99 if it would have its registered seat in Switzerland.
• As a financial institution incorporated in Germany, Commerzbank AG is fully compliant with EMIR [EU/648/2012] and accordingly classified Financial Counterparty (FC) Art. 2(8) [EU/648/2012].

Commerzbank AG is a "Kreditinstitut" according to §1 Abs. 1 KWG.

• Commerzbank AG is an "Eligible Counterparty" according to Art. 30 [2014/65].
• Commerzbank AG is an “Investment Firm” according to Art. 4(1) 2014/65].

As of December 1st 2020, Commerzbank AG is registered as aSystematic Internaliser (SI) under the MiFID II/ MiFIR regime in the following asset classes:

• Bonds (BOND) - venue MIC: CBKG
• Securitised Warrants and Certificates issued by Commerzbank AG falling under the definition of “securitised derivatives) (SDRV) - venue MIC: CBKD
• ETCs & ETNs - venue MIC: CBKD
• Emission allowances (EMAL) - venue MIC CBKC
• Derivatives (DERV) - venue MIC: CBKC

• LEI: 851WYGNLUQLFZBSYGB56
• GIIN: G51Q21.00000.LE.276
• German VAT Registration Number: DE – 114 103 514

For the list of GIINs attributed to Commerzbank branches and subsidiaries as well as for W-8BEN-E forms please see the “GIIN-List” provided in the sectionInstitutions/Fatca.

Commerzbank is registered with ACER under following ACER code A00037361.DE.

Commerzbank AFG is registered with the National Futures Association (NFA) under NFA ID: 0239971.

For the company registration and German VAT number please refer to "imprint"

Commerzbank AG is incorporated in the Federal Republic of Germany and authorised by Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin; Licence/ registration number 100005)

• Commerzbank AG is registered in England and Wales BR 001025 | 30 Gresham Street, London EC2V 7PG.
• Commerzbank AG is subject to limited regulation by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA).
• Commerzbank AG London branch is an incoming EEA Authorised firm, and appears on the "UK Financial Service Register" under number 124920.

Commerzbank AG is a "Foreign Banking Organisation" supervised by the "Federal Reserve Bank of New York".

Information on the compliance of Commerzbank with the USA Patriot Act can be found in the section About us/Compliance/USA Patriot Act.

Information regarding KYC and MLP (Money Laundering Prevention) policies of Commerzbank AG as well as its corporate governance you find under Institutions/KYC & MLP Policies.

• Commerzbank AG has undertaken “deemed” Derivatives Dealer status under the Canadian regulations for reporting purposes in all Canadian provinces.
• Commerzbank AG is not registered as a Derivatives Dealer in any Canadian province

Commerzbank AG is compliant with EU Regulation 2015/2365 on Securities Financing Transactions and is aware of the general risks and consequences that may be involved in consenting to a right of use of collateral provided under a security collateral arrangement.

Commerzbank AG is a Financial Counterparty under the SFTR. For our counterparties engaging with us in Repo or Securities Borrowing Business we have provided additional information on the Regulatory Disclosures section of the Corporate Clients area of this website.