Source: https://www.commerzbank.de/en/hauptnavigation/konzern/compliance/regulatorik/regulatorik.html
Timestamp: 2019-04-20 10:19:22+00:00

Document:
Following the recent introduction of regulatory requirements concerning the status of parties of financial transactions, it is important for financial institutions to be transparent about their roles. In order to help our clients and counterparties conduct their due diligence processes and increase transparency, this section provides the self-classification information for Commerzbank AG in relation to a number of regulations. In addition, you will also find links to further information on relevant disclosures and documents.
Commerzbank AG is a "Credit Institution" according to Art. 4(1) [EU/575/2013].
Commerzbank AG is provisionally registered as a Swap Dealer with the U.S. Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA ID: 0239971).
Commerzbank AG is a Foreign Banking Organisation, supervised by the Federal Reserve Bank of New York.
‘Category 1’ for Clearing Obligations with regards to IRS G4 [Delegated Regulation (EU/2015/2205)] and IRS NOK/SEK/PLN [Delegated Regulation (EU/2016/1178)].
Commerzbank AG is subject to variation margin requirements from March 2017 according to Art. 11 EMIR (EU/648/2012); Delegated Regulation (EU2016/2251).
Commerzbank is already calculating and collecting initial margin from counterparties subject to US Prudential Regulation with an aggregate average notional amount in excess of USD 1.500 billion.
Commerzbank will start 02. September 2019 to calculate and collect initial margin from counterparties subject to EMIR Prudential Regulation with an aggregate average notional amount in excess of EUR 750 billion as defined in EU delegated regulation 2016/2251 art. 36 Nr.1 (d).
Commerzbank AG qualifies as a Reporting German Financial Institution for purposes of both U.S. FATCA (Foreign Account Tax Compliance Act) and the Common Reporting Standard (CRS). Commerzbank AG, its branches outside Germany and several of its subsidiaries confirm their respective status as a (Reporting) Financial Institution under locally applicable regulations through IRS (U.S. Internal Revenue Service) W forms (follow the link below under “Registration numbers – FATCA/IRS” directing you to the download site).
Commerzbank AG would be considered a Financial Counterparty+ (FC+) according to FinfraG Art 99 if it would have its registered seat in Switzerland.
As a financial institution incorporated in Germany, Commerzbank AG is fully compliant with EMIR [EU/648/2012] and accordingly classified Financial Counterparty (FC) Art. 2(8) [EU/648/2012].
Commerzbank AG is a "Kreditinstitut" according to §1 Abs. 1 KWG.
Commerzbank AG is an "Eligible Counterparty" according to Art. 24(1) [2004/39/EC].
Commerzbank AG is an “Investment Firm” according to Art. 4(1) [2004/39/EC].
For the list of GIINs attributed to Commerzbank branches and subsidiaries as well as for W-8BEN-E forms please see the section Institutions/Fatca.
Commerzbank is registered with ACER under following code: A00037361.DE.
Commerzbank AFG is registered with the National Futures Association (NFA) under NFA ID: 0239971.
For the company registration and German VAT number please refer to "imprint"
Commerzbank AG is registered in England and Wales BR 001025 | 30 Gresham Street, London EC2V 7PG.
Commerzbank AG is subject to limited regulation by the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA).
Commerzbank AG London branch is an incoming EEA Authorised firm, and appears on the "UK Financial Service Register" under number 124920.
Commerzbank AG is a "Foreign Banking Organisation" supervised by the "Federal Reserve Bank of New York".
Information on the compliance of Commerzbank with the USA Patriot Act can be found in the section About us/Compliance/USA Patriot Act.
Information regarding KYC and MLP (Money Laundering Prevention) policies of Commerzbank AG as well as its corporate governance you find under Institutions/KYC & MLP Policies.
Commerzbank AG has undertaken “deemed” Derivatives Dealer status under the Canadian regulations for reporting purposes in all Canadian provinces.
Commerzbank AG is compliant with EU Regulation 2015/2365 on Securities Financing Transactions and is aware of the general risks and consequences that may be involved in consenting to a right of use of collateral provided under a security collateral arrangement.

References: Art. 4
 Art. 11
 art. 36
 Art 99
 Art. 2
 §1
 Art. 24
 Art. 4