Information for customers' due diligence activities
To help customers with their own respective due diligence requirements regarding Clearstream's business, services and practices, we provide:
- Information about our own regulatory reporting requirements and supervisory bodies overseeing our operations;
- Our corporate governance structure;
- Detailed information about our custody chain, such as via our Bafin Three-point declarations (setting out the underlying custody chain details) from all domestic and foreign custodians involved in our custody chain;
- Our Pillar III report for regulators, clients and any other interested parties, disclosed to fulfil regulatory disclosure requirements based on the “Basel II” rules;
- Our Wolfsberg Anti-Money Laundering (AML) Questionnaire;
- Our banking licences information;
- Our International Standard on Assurance Engagements (ISAE) reports detailing Clearstream's controls, their design and operating effectiveness, including an independent assessment of whether the controls were placed in operation, suitably designed, and operating effectively;
- A Domestic Markets Monitoring Report (DMMR) showing the custody chain below Clearstream that is applied to safekeep securities in the domestic markets. The DMMR supports depository banks in fulfilling the due diligence and regulatory obligations they face (set out in the Undertakings for Collective Investment in Transferable Securities (UCITS V) directive and the Alternative Investment Fund Manager Directive (AIFMD).
- A specific Registrar Monitoring Report (RMR) for securities held in the fund’s register kept by registrars and transfer agents.
In addition, customers may find our Key Documents webpage helpful as a grouping of governing and other important documentation regarding thier business relationship with Clearstream Banking Luxembourg and Clearstream Banking Frankfurt. This web section includes links to our Customer Handbook and Refernece Data such as a list of our domestic counterparties and depositories for our ICSD and CSD.