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LISTE DES ENTREPRISES D'INVESTISSEMENT RELEVANT DU DROIT D'UN AUTRE ETAT MEMBRE DE L'ESPACE ECONOMIQUE EUROPÉEN QUI ONT NOTIFIÉ LEUR INTENTION DE FOURNIR DES SERVICES D'INVESTISSEMENT EN BELGIQUE SOUS LE RÉGIME DE LA LIBRE PRESTATION DE SERVICES Article 11 de la loi du 25 octobre 2016 relative à l'accès à l'activité de prestation de services d'investissement et au statut et au contrôle des sociétés de gestion de portefeuille et de conseil en investissement (*) Services et activités d'investissement, visés à l'article 2, 1°, de la loi du 25 octobre 2016 : • 1. La réception et la transmission d'ordres portant sur un ou plusieurs instruments financiers, en ce compris la mise en rapport de deux ou plusieurs investisseurs permettant ainsi la réalisation, entre ces investisseurs, d'une opération ; • 2. L'exécution d'ordres au nom de clients; • 3. La négociation pour compte propre; • 4. La gestion de portefeuille; • 5. Le conseil en investissement; • 6. La prise ferme d'instruments financiers et/ou le placement d'instruments financiers avec engagement ferme; • 7. Le placement d'instruments financiers sans engagement ferme; • 8. L'exploitation d'un système multilatéral de négociation (MTF); (**) Services auxiliaires, visés à l'article 2, 2°, de la loi du 25 octobre 2016 : • 1. La conservation et l'administration d'instruments financiers pour le compte de clients, y compris la garde et les services connexes, comme la gestion de trésorerie/de garanties; • 2. L'octroi d'un crédit ou d'un prêt à un investisseur pour lui permettre d'effectuer une transaction sur un ou plusieurs instruments financiers, dans laquelle intervient l'entreprise qui octroie le crédit ou le prêt; • 3. Le conseil aux entreprises en matière de structure du capital, de stratégie industrielle et de questions connexes; le conseil et les services en matière de fusions et de rachat d'entreprises; • 4. Les services de change lorsque ces services sont liés à la fourniture de services d'investissement; • 5. La recherche en investissements et l'analyse financière ou toute autre forme de recommandation générale concernant les transactions sur instruments financiers; • 6. Les services liés à la prise ferme; • 7. Ceux des services et activités d'investissement précités et services auxiliaires qui concernent le marché sous-jacent des instruments dérivés visés à l'article 2, alinéa 1er, 1°, e), f), g) et j), de la loi du 2 août 2002, lorsqu'ils sont liés à la prestation de services d'investissement ou de services auxiliaires. Situation au 01-07-2017 Services Services auxiliaires d'investissement (*) (**) o Allemagne Ŷ 360 Treasury Systems AG 1 Grüneburgweg 16-18 60322 Frakfurt am Main Ŷ Acatis Investment GmbH 4 5 Taunusanlage 18 60325 Frankfurt am Main Ŷ Acolin Europe GmbH Weissfrauenstrasse 16-18 60311 Frankfurt am Mein Ŷ Acolin Europe GmbH 1 2 5 Weissfrauenstrasse 16-18 60311 Frankfurt am Mein Ŷ Allianz Global Investors GmbH 1 2 4 1 2 3 4 5 6 7 Bockenheimer Landstrasse 42-44 60385 Frankfurt Ŷ Amini Financial Services gmbh 1 2 5 Rudolf-Diesel Strasse 5b 40670 Meerbusch Ŷ Anton v. Below & C° 1 2 5 6 7 4 Neuer Wall 50 20354 Hamburg Ŷ Archelon Deutschland GmbH 3 Frankfurter Welle Reuterweg 16 60323 Frankfurt am Main Ŷ Baader Wertpapierhandelsbank AG 1 2 3 6 7 1 4 6 Weihenstephaner Strasse 4 85716 Unterschleissheim Ŷ Berliner Freiverkehr (Aktien) AG 1 2 3 Kurfürstendamm 119 10711 Berlin Ŷ Bernstein Bank GmbH 1 2 3 4 5 7 1 3 4 5 7 Maximilianstrasse 13 80539 München Ŷ Boerse Stuttgart cats GmbH 1 Börsenstrasse 4 70174 Stuttgart Ŷ C&F Certificates and Funds GmbH 1 1 Bahnhofstrasse 2 83435 Bad Reichenhall Ŷ Ceros GmbH 1 5 4 5 agents liés Bockenheimer Landstrasse 61 60325 Frankfurt Ŷ CM-Equity AG & Co. KG Financial Services 1 2 3 4 5 7 3 4 5 7 Kaufingerstraße 20 80331 München Ŷ Collegium Vermögensverwaltungs AG 1 4 5 Kamp 49 49074 Osnabrück Ŷ DC Placement Advisors GmbH 1 5 Briener Strasse 14 80333 München Ŷ Deutsche Asset & Wealth Management 5 International GmbH Mainzer Landstrasse 178-190 60327 Frankfurt am Main Ŷ Dimensional Fund Advisors (DE) 1 2 4 5 6 7 1 4 5 Kurfurstendamm 190-192 10707 Berlin Ŷ DonauCapital Wertpapier AG 1 2 4 5 Passauer Str., 5 94161 Ruderting Ŷ DonauCapital Wertpapier GmbH 1 5 Passauer Strasse 5 94161 Ruderting Ŷ Doric Select GmbH & Co. KG 1 2 5 7 Berliner Strasse 114 63065 Offenbach am Main Ŷ E.ON Portfolio Solution GmbH 1 2 4 5 7 Holzstrasse 6 40221 Düsseldorf Ŷ Equinet Bank AG 1 2 3 5 1 3 4 5 6 7 Grafstrasse 97 60487 Frankfurt am Main Ŷ Eurobond-Sales AG 1 2 5 Flingerstrasse 11 40213 Düsseldorf Ŷ Euwax Broker AG 3 Schlossstrasse 20 70174 Stuttgart Ŷ FCF Fox Corporate Finance GmbH 1 2 5 7 3 5 Maximilianstrasse 80539 München Ŷ Federated Asset Management GmbH 1 2 4 1 2 3 4 5 6 7 Friedensstrasse 6 - 10 60311 Frankfurt am Main Ŷ Feri Trust GmbH 1 2 4 5 Rathausplatz 61348 Bad Homburg Ŷ Fiducia Capital GmbH 1 5 5 Kirchplatz 1 82049 Pullach im Isartal Ŷ Finance in motion GmbH 1 Theodor-Stern-Kai 1 60596 Frankfurt am Main Ŷ First Quant GmbH 1 2 4 5 Haus 1 Unter den Eichen 65195 Wiesbaden Ŷ FMS Wertmanagement Service GmbH 1 2 4 5 Freisinger Strasse 11 85716 Unterschleissheim Ŷ Forsa Portfoliomanagement 1 2 7 4 Vermogensberatung Kreuzberger Ring 15 65205 Wiesbaden Ŷ FXdirekt Bank AG 1 2 3 4 Am Waldwinkel 3à 47802 Krefeld Ŷ Grüner Fisher Investments GmbH 1 2 4 5 agents liés Sportstraße 2a 67688 Rodenbach Ŷ Heitman International Real Estate 1 2 4 5 Securities GmbH Maximilian Strasse 35A 80539 München Ŷ Heyder Krüger & Kollegen GmbH 1 Mülheimer Straße 6 40878 Ratingen Ŷ HiBrook financial advisors GmbH 1 5 3 Lichtweg 50 36145 Hofbieber Ŷ HSBC Global Asset Management 1 4 5 (Deutschland) GmbH Koenigsallee 21 - 23 40212 Duesseldorf Ŷ IHG Index Handelsgesellschaft GmbH 1 2 4 Wernher-von-Braun Str. 5 63263 Neu-Isenburg Ŷ Invinco GmbH 1 2 5 Friedrichstrasse 34 40217 Düsseldorf Ŷ ISG Investment Synergy GmbH 1 2 5 Platz der Einheit 1 60327 Frankfurt am Main Ŷ JRC Capital Management Consultancy & 1 2 4 5 Research GmbH Kurfürstendamm 186 10707 Berlin Ŷ KGAL Capital GmbH & Co. KG 1 5 Tölzer Strasse 15 82031 Grünwald Ŷ Klimek Advisors Fund Consulting GmbH 1 2 5 7 Mainzer Landstrasse 47 60329 Frankfurt Ŷ Kornhaass & Cie Vermögensverwaltung 4 5 AG Palaststrasse 10 54290 Trier - Innenstadt Ŷ Landert Family Office Deutschland AG 1 2 4 5 4 5 St-Apern-Strasse 20 50667 Köln Ŷ Landesbank Saar 1 2 3 4 5 6 7 1 2 3 4 6 Ursulinenstrasse 2 66111 Saarbrücken Ŷ Leonteq Securities (Europe) GmbH 1 2 5 5 Goetheplatz, 2 60311 Frankfurt Ŷ LFG Kronos Investment Services GmbH 1 2 5 7 3 5 Ludwigstrasse 8 80539 München Ŷ Lingohr & Partner Asset Management 4 1 GmbH Heinrich-von-Kleist-Strasse 4 40699 Erkrath Ŷ Metzler Asset Management GmbH 1 2 5 Marie-Curie-Strasse 24-28 60439 Frankfurt Ŷ MGW Gesellschaft für Geld-und 1 Wertpapiervermittlung mbH Raiffeisenallee 16 82041 Oberhaching Ŷ Michael Pintarelli Finanzdienstleistungen 1 2 4 5 AG Ohligsmühle 3 42103 Wuppertal Ŷ MTS Deutschland AG 1 2 Lurgiallee 5 60439 Frankfurt am Main Ŷ Munich Ergo AssetManagement GmbH 4 Oskar-von-Miller-Ring 18 80333 Munchen Ŷ MWB Wertpapierhandelshaus AG 1 2 3 Rottenbucher Strasse 28 82166 Gräfelfing Ŷ Oktavest GmbH 1 2 4 5 7 3 4 5 7 Maximilianstrasse 13 80539 München Ŷ Pimco Deutschland GmbH 1 2 4 5 Seidlstrasse 24-24a 80335 Munich Ŷ Prime Capital AG 1 2 4 5 3 4 5 6 7 Bockenheimer Landstrasse 51-53 60325 Frankfurt am Main Ŷ Privalor AG 1 2 4 5 Venloer Strasse 538a 50259 Pulheim Ŷ PT Asset Management AG 1 4 5 4 Innere Heerstrasse 4 72555 Metzingen Ŷ Quant Capital Management GmbH 1 2 4 Graf-Adolfstrasse 12 40212 Düsseldorf Ŷ Quoniam Asset Management GmbH 1 2 4 5 Westhafen Tower Westhafenplatz 1 60327 Frankfurt am Main Ŷ Renell Wertpapierhandelsbank AG 1 2 3 7 4 6 Schillerstrasse 2 60313 Frankfurt am Main Ŷ RWE Trading Services GmbH 1 2 3 4 5 4 7 Altenessener Strasse 27 45141 Essen Ŷ Salm-Salm & Partner GmbH 1 2 4 5 Schloss Straße, 3 D-55595 Wallhausen Ŷ SKY Harbor Capital Management GmbH 1 5 An der Welle 4 60322 Frankfurt am Main Ŷ StarPortolio GmbH 1 2 4 5 Lärchenweg 6 61381 Friedrichsdorf Ŷ Timberland Capital Management GmbH 1 4 5 Feldstrasse 8 47198 Duisburg Ŷ Tradition Financial Services GmbH 2 Grosse Eschenheimer Strasse 39/39a 60313 Frankfurt am Main Ŷ UBS Deutschland AG 1 2 3 4 5 6 7 1 2 3 4 Postfach 10 20 42 60020 Frankfurt am Main Ŷ US-Kapitalanlagen Hans-Dieter Neuen 1 2 5 Eschenbachstrasse 6 50739 Köln Ŷ Varengold Wertpapierhandelsbank AG 1 2 4 5 Grosse Elbstrasse 27 22767 Hamburg Ŷ Vattenfall Europe Power Management 1 2 4 5 5 7 GmbH Dammtorstrasse 29-32 20354 Hamburg Ŷ vPE WertpapierhandelsBank AG 1 5 4 5 Maximiliansplatz 17 80333 München Ŷ Wertpapierhandelsbank Wagner & Lang 2 3 GmbH Schillerstrasse 26 60313 Frankfurt a.M. Ŷ Whitebox GmbH 4 am Kesselhaus 73 79576 Weil am Rhein Ŷ Wickenkamp Consulting GmbH 1 5 Benessisstrasse 24-32 50672 Köln Ŷ Witt & Co Wertpapiervermittlungs GmbH 1 2 5 4 Walter-Paetzmann-Strasse 3 82008 Unterhaching Ŷ Wolfgang Steubing AG 5 Goethestrasse 29 60313 Frankfurt Ŷ Wolfgang Steubing AG 1 2 3 5 6 7 3 6 Wertpapierdienstleister Goethestrasse 29 60313 Frankfurt am Main Ŷ wSw PortfolioManagement AG 1 2 4 5 Johann-Georg-Strasse 21-22 10709 Berlin Ŷ Youmex Invest AG 1 7 3 5 Taunusanlage 19 60325 Frankfurt am Main o Australie Ŷ Tibra Trading Europe ltd Mabledon Place Hamilton House WC1H 9BB London o Autriche Ŷ C-Quadrat Kapitalanlage AG 1 4 5 Rosenbursenstrasse 2 Ŷ Epicon Financial Services GmbH 1 5 Handelskai 94-96 Ŷ GBR Financail Services GmbH 1 5 Börsegasse, 12/2 1010 Wien Ŷ HARDT Group Investments AG Stubentor 186/6 1010 Wien Ŷ KS Asset Management AG 1 4 5 Reichsratstrasse 7 Wien 1010 Ŷ Omicron
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    1 State Of Fintech Q1’21 Report: Investment & Sector Trends To Watch 1 WHAT IS CB INSIGHTS? CB Insights helps the world’s leading companies make smarter technology decisions with data, not opinion. Our Technology Insights Platform provides companies with comprehensive data, expert insights and work management tools to drive growth and improve operations with technology. CLICK HERE TO SIGN UP FOR A FREE TRIAL 1 CB Insights has helped Sun Life Financial work more efficiently. It's streamlined our research process and reduced the time it takes for us to get a perspective on an emerging trend. Christopher Collins Assistant Vice President of Digital Partnerships, Sun Life Financial Disrupting The $8T Payment Card Business: The Outlook On ‘Buy Now, Pay Later’ How Wealth Tech Companies Are Helping Financial Services Incumbents Stay Competitive Fintech Funding Trends In Europe Our Most Popular What Insurance Partnerships Tell Us About The Future Of Commercial Underwriting Client-Exclusive 75+ Companies Reinventing Wealth Management In Europe These Reinsurance Incumbents Are Fueling The Rapid Growth Of Insurtech Startups Research Why Stablecoins Are On The Rise HR Tech Startups Could Help Businesses Expand Their Remote Teams And Services ESP Vendor Assessment Matrix — Underwriting Data Platforms In P&C Insurance Pay-Per-Mile Insurance Gains Momentum Amid Metromile’s SPAC Deal Reinsurers Continue To Invest Heavily In Private Tech Markets Robinhood Captures Executive And Media Attention During The Pandemic ESP Vendor Assessment Matrix — Robotic Process