The Custodian Declaration Form is a critical regulatory document required under German financial services law for institutions providing custody services. It is typically used when establishing or updating custody arrangements, during regulatory filings, or when confirming compliance with German custody requirements to regulators or clients. The form contains detailed declarations about the institution's custody operations, including asset segregation practices, risk management procedures, and compliance with the German Banking Act (KWG) and Securities Deposit Act (DepotG). This document is particularly important in the context of Germany's strict regulatory framework for financial services and plays a key role in demonstrating compliance with custodian obligations.
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1. Declarant Information: Identity and contact details of the custodian making the declaration
2. Legal Capacity: Statement of authority and legal capacity to act as custodian
3. Scope of Custody: Description of assets, accounts, or securities covered by the declaration
4. Regulatory Status: Confirmation of licensing and regulatory authorizations under German banking laws
5. Core Declarations: Primary declarations regarding segregation of assets, compliance with German custody laws, and fiduciary obligations
6. Compliance Commitments: Declarations regarding AML compliance, record-keeping, and regulatory reporting obligations
7. Asset Protection Measures: Statements regarding measures taken to protect client assets as per DepotG requirements
8. Acknowledgments: Acknowledgment of responsibilities and potential liability under German law
9. Execution: Date, signature, and formal execution requirements
1. Sub-Custodian Arrangements: Details of any sub-custodian relationships, used when custody functions are partially delegated
2. Foreign Securities Holdings: Additional declarations for cross-border custody arrangements, required when foreign securities are held
3. Investment Fund Provisions: Specific declarations required under KAGB for investment fund custody, included when dealing with fund assets
4. Conflict Resolution: Dispute resolution procedures and jurisdiction, included for more complex custody arrangements
5. Insurance Coverage: Details of professional liability insurance, included when required by specific clients or for certain asset types
1. Asset Schedule: Detailed listing of assets under custody, including identification numbers and classifications
2. Regulatory Licenses: Copies of relevant regulatory authorizations and licenses
3. Compliance Procedures: Summary of internal compliance procedures and controls
4. Authorized Signatories: List of persons authorized to act on behalf of the custodian
5. Fee Schedule: Schedule of custody fees and charges, if applicable
Authors
Relevant legal definitions
Clauses
Relevant Industries
Banking
Financial Services
Investment Management
Securities Services
Asset Management
Wealth Management
Fund Administration
Trust Services
Private Banking
Corporate Banking
Relevant Teams
Legal
Compliance
Operations
Risk Management
Regulatory Reporting
Client Assets
Securities Services
Corporate Governance
Asset Services
Internal Audit
Client Relations
Relevant Roles
Head of Custody Services
Compliance Officer
Legal Counsel
Risk Manager
Operations Director
Head of Securities Services
Regulatory Reporting Officer
Client Asset Manager
Head of Corporate Governance
Chief Operating Officer
Head of Client Assets
Compliance Manager
Asset Services Director
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