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HSBC Registration Document 2008

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HSBC Registration Document 2008 REGISTRATION DOCUMENT 4 August 2008 This document (this "Registration Document") has been prepared for the purposes of providing the information disclosure on HSBC Trinkaus & Burkhardt AG, Düsseldorf, Federal Republic of Germany (the "Issuer") required by Directive 2003/71/EC (the "Prospectus Directive") to be included (whether pursuant to § 11 or § 12 of the German Securities Prospectus Act (Wertpapierprospektgesetz, "WpPG") in connection with § 9 German Securities Prospectus Act, as applicable), in the registration document component of any prospectus of which this Registration Document forms part, submitted to the Bundesanstalt für Finanzdienstleistungsaufsicht ("BaFin") in connection with the issuance by the Issuer of bonds, notes, warrants, certificates and other securities of any description, which are non-equity securities (as defined in the Prospectus Directive) and in respect of which a prospectus is required to be published for the purposes of the Prospectus Directive as implemented in any jurisdiction. TABLE OF CONTENTS Risk Factors................................................................................................................................... 4 Responsibility Statement............................................................................................................... 5 General .......................................................................................................................................... 6 Information relating to the Issuer.................................................................................................. 7 Statutory Auditors ....................................................................................................................................7 Name and Address................................................................................................................................7 Change..................................................................................................................................................7 History and Development of the Issuer ....................................................................................................7 Legal and Commercial Name of the Issuer ..........................................................................................7 Registration of the Issuer in the Commercial Register .........................................................................7 Incorporation of the Issuer....................................................................................................................7 Registered Office and Legal Form of the Issuer...................................................................................7 Any recent Events particular to the Issuer which are to a material extent relevant to the Evaluation of the Issuer’s Solvency............................................................................................................................8 Rating ...................................................................................................................................................8 Business Overview...................................................................................................................................8 Principal Activities ...............................................................................................................................8 Organisational Structure.........................................................................................................................10 Membership in a Corporate Group.....................................................................................................10 Dependency on other Members of the Group.....................................................................................10 Trend Information ..................................................................................................................................11 Material Adverse Changes in the Prospects of the Issuer...................................................................11 Information on any known Trends, Uncertainties, Demands, Commitments or Events that are reasonably likely to have a Material Effect on the Prospects of the Issuer for at least the current Financial Year ....................................................................................................................................11 Profit Forecasts or Estimates ..................................................................................................................11 Administrative, Management and Supervisory Bodies ..........................................................................11 Supervisory Board, Management Board.............................................................................................11 Potential Conflicts of Interests of Management and Supervisory Bodies as well as Senior Management .......................................................................................................................................16 Major Shareholders ................................................................................................................................16 A09613365 - 2 - Shareholdings .....................................................................................................................................16 Agreements with regard to possible Changes of Control ...................................................................17 Financial Information concerning the Assets and Liabilities, Financial Position and Profits and Losses of the Issuer ............................................................................................................................................17 Historical Financial Information ........................................................................................................17 Annual Financial Statements..............................................................................................................17 Auditing of the Historical Annual Financial Information...................................................................17 Age of the latest Financial Information..............................................................................................18 Interim and other Financial Information.............................................................................................18 Legal and Arbitration Proceedings .....................................................................................................18 Significant Change in the Issuer’s Financial Position ........................................................................18 Material Contracts ..................................................................................................................................18 Third Party Information and Statement by Experts and Declarations of any Interest ............................18 Declarations or Reports by Experts ....................................................................................................18 Statements by Third Parties................................................................................................................18 Summary Financial Information of HSBC Trinkaus & Burkhardt AG ...................................... 19 Documents on Display ................................................................................................................ 22 ANNEX A The Annual Financial Statements and Management Report 2007 ......................... A-1 ANNEX B The Annual Report 2007 (consolidated financial statements)................................ B-1 ANNEX C The Annual Report 2006 (consolidated financial statements)................................ C-1 ANNEX D The unaudited interim report of HSBC Trinkaus & Burkhardt Group as of 31 March 2008................................................................................................................ D-1 Names and Addresses ................................................................................................................S-1 Signature Page............................................................................................................................S-1 A09613365 - 3 - RISK FACTORS As is the case with all companies existing under private law, there is a general risk of insolvency for the Issuer. The realisation of this risk would have the consequence that the Issuer would not be able to fulfill its payment obligations under any issued securities owed to the holders, and the holders would only be able to register their claims in accordance with the German Insolvency Code (Insolvenzordnung). There is no protection against these risks by the deposit insurance fund of the Federal Association of German Banks (Einlagensicherungsfonds des Bundesverbandes Deutscher Banken) or by Entschädigungseinrichtung Deutsche Banken GmbH for any securities issued by the Issuer. For these reasons, there is the risk for the investor in the case of insolvency of the Issuer that there will be a total loss of the capital expended for the acquisition of any securities issued by the Issuer (purchase price plus other costs associated with the purchase). A09613365 - 4 - RESPONSIBILITY STATEMENT HSBC Trinkaus & Burkhardt AG whose registered office is at Königsallee 21/23, 40212 Düsseldorf, Federal Republic of Germany is responsible for the content of this Registration Document pursuant to § 5 para 4 German Securities Prospectus
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