As part of Eurex Clearing AG's commitment to support transparency in the financial sector, our website provides a comprehensive suite of information on the due diligence applied to our services, operational set-up, processes and procedures. This area of the website contains information covering such topics as supervision & licensing, external audit, compliance function and anti-money laundering controls.
Considering today's challenging operational environment, due diligence reviews are becoming both, increasingly important and complex. By providing the information gathered on this page free of charge, we aim to accommodate our participants' requirements in obtaining this information and to help streamline their review processes.
For information on our licenses and supervision, please click here.
In case of any further information needs, please contact your Key Account Manager.
Eurex Clearing AG has a Compliance function in accordance with EMIR Article 26 and MaRisk AT 4.4.2 in place in order to counteract the risks that may arise from non-compliance with legal rules and regulations. The Compliance function ensures the implementation of effective procedures for complying with the legal rules and regulations that are material to the institution, and of corresponding controls. The Compliance function additionally supports and advises the Management Board with regard to complying with these legal rules and regulations.
Eurex Clearing AG's Compliance function is directly subordinated to and reports to the Management Board of Eurex Clearing AG.
Germany is a member country of the Financial Action Task Force (FATF) and the European Union (EU) and has enacted laws and rules designed to implement the requirements of the EU and the FATF concerning the combating of money laundering and terrorist financing.
In order to detect and prevent money laundering and potential terrorist financing, Deutsche Börse Group has adopted group-wide policies and procedures governing compliance with national and international anti-money-laundering standards. These policies and procedures apply to all relevant branches and subsidiaries of Deutsche Börse AG taking into account provisions of local law.
In particular, written policies and procedures including provisions regarding customer identification and record keeping, a designated Anti-Money Laundering Officer, training and informing of the relevant employees and independent audits (internal and external) to test the implementation are part of this concept.
Please also refer to the Eurex Clearing AG - Statement concerning the combating of money laundering. Further information can be found within the SWIFT KYC Registry.
In our company, there is no natural person who directly or indirectly holds more than 25 per cent of the capital, controls more than 25 per cent of the voting rights or controls in a comparable manner.
Accordingly, all legal representatives or managing partners are to be stated as "fictitious" beneficial owners.
In accordance with § 316 German Commercial Code, Eurex Clearing AG is subject to an annual audit by our current annual auditor PricewaterhouseCoopers (PwC), Frankfurt am Main.
Please refer for our latest annual audit report.
Eurex Clearing AG is also subject to regular onsite inspections of its national supervisory authority BaFin.
Eurex Clearing is committed to provide you with the best possible service. The satisfaction of our customers is our top priority. However, it may occur that you have to complain about an issue related to our products and services.
In order to address complaints arising in connection with the performance of, or failure to perform any of Eurex Clearing’s obligations as defined in the Clearing Conditions of Eurex Clearing and/or with the performance, or failure to perform, any regulatory requirements that need to be fulfilled by Eurex Clearing in a fair and professional way, Eurex Clearing has implemented a complaints management process.
How to file a complaint?
Each complaint has to be directed to Eurex Clearing in written form, either as a formal letter or as an e-mail. The request should include customer contact details and a complete description of the event giving rise to a complaint and how your business was impacted.
Complaints related to our products and services that have caused a financial loss or measurable impairment of your business, can be submitted to your Key Account Manager or via the Eurex Clearing Contact Form.
Complaints related to a potential breach of Eurex Clearing’s fulfillment of the Clearing Conditions or any applicable regulatory requirement can be submitted to our Compliance Department.
All complaints can also be addressed to Eurex Clearing by formal letter to:
Regulation & Compliance
Eurex Clearing AG
Deutsche Börse Group
Mergenthalerallee 61
65760 Eschborn
What is the procedure for handling a complaint?
Once we have received a complaint, we will collect all the information necessary and conduct an in-deep investigation in order to provide the most complete response possible. The complainant will receive a written confirmation of receipt of his complaint no later than 10 business days following its receipt.
Eurex Clearing will respond to the complaint within a period of 50 business days from its receipt. If we cannot respect the mentioned period for example due to the complexity of the complaint, the complainant will be informed when the complaint is likely to be resolved.
Legal Disclaimer: This information compiled and referenced on this page is for your benefit and internal use only and must not be further distributed or duplicated in whole or in part by any means without the prior written consent of Eurex Clearing AG. The information is for information purposes only. It is not intended to provide professional (legal) advice and should not be relied upon in this regard. You should seek appropriate professional advice where necessary before taking any action based on or arising from such information. Eurex Clearing AG makes no guarantees, epresentations or warranties and accepts no responsibility or liability as to the veracity, accuracy or completeness of the information and under no circumstances will be liable for any loss or damage caused by reliance on any opinion, advice or statement made therein. The information may be subject to change. Eurex Clearing AG is not obliged to update this information in light of future events.Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories.
