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Whistleblower-System

Home Member State

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In accordance with Article 119 para. 8 of the Stock Exchange Act 2018 (BörseG 2018; Börsegesetz 2018) in conjunction with Article 118 para. 1 no. 7 BörseG 2018 – specific issuers are required to communicate the choice of home Member State to the competent authorities and disclose this information pursuant to Article 119 para. 7 BörseG 2018. This reporting requirement does not apply for issuers of shares that have their registered office in the EEA or for issuers of debt instruments with a denomination of less than EUR 1 000 that have their registered office in the EEA (Article 1 no.14 point a sub-point aa BörseG 2018). All other issuers should observe the aforementioned provisions contained the Stock Exchange Act regarding the assessment of whether reporting requirements exist.

Those issuers that are subject to the requirement of disclosing their home Member State, must submit the report within three months of initial authorisation regarding the admission to trading on a regulated market.

The European Securities and Markets Authority (ESMA) published a form for submission of these notifications (see ESMA Notification Form). This form has been adapted to the Austrian legal situation and translated into German by the FMA. The FMA recommends using the form which can be downloaded below, which has been adapted by the FMA, for notification of the home Member State.

Home Member State notifications may be submitted by e-mail to marktaufsicht@fma.gv.at. In this instance it is not necessary to make an additional submission by post or fax.