Which documents are required for the review?

Which documents are required for the review?

The current ECSP checklist provided by your Financing Manager is decisive. The required documentation is generally divided into four categories.
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The financial and legal review can only begin once the required documentation has been provided. The entire corporate structure must be transparent and the ultimate beneficial owners must be clearly identifiable.

1. Official and Corporate Documents

The following documents are required in particular to review the corporate and ownership structure:
  1. commercial register extract
  2. LEI number
  3. valid photo identification for all managing directors and all shareholders holding more than 25%
  4. current shareholder list
  5. criminal record certificates
  6. extract from the applicable beneficial ownership register, such as the German Transparency Register or Austrian WiEReG, together with the tax account information
  7. articles of association, including all shareholders' agreements
  8. shareholder resolutions from the last three years
Info
If another company holds more than 25% of the issuer, the corresponding documentation is generally also required for that company.

2. Financial and Tax Documents

The following documents are required in particular for the financial review:
  1. business plan
  2. three-year financial plan, including profit and loss statement, projected balance sheet and cash flow statement
  3. proposed company valuation
  4. current VAT return or advance VAT return, as applicable
  5. tax returns for the last three years, including the corresponding tax assessments
  6. current management accounts, including trial balance or equivalent financial records
  7. annual financial statements for the last three years
  8. CVs of the management team

3. Material Business Agreements and Documents

Documentation relating to the company's material rights, obligations and assets is also required. This includes in particular:
  1. documentation relating to patents and trademark rights
  2. loan and funding agreements
  3. participation and profit transfer agreements
  4. other material agreements
  5. documentation relating to pending legal disputes
  6. an overview of assets essential to the operation of the business

4. Required Signatures and Forms

The following documents and information are required in particular for the subsequent technical and administrative processing:
  1. agreement with the payment service provider and its beneficial ownership form
  2. bank account confirmation from your principal bank showing the full IBAN, company name, address and logo
  3. LEI number
  4. OeKB authorisation
  5. signed data protection and/or data processing agreement
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The required forms for this part of the process will be provided by CONDA Capital.

Which documents should be provided first?

To enable the review to begin as quickly as possible, you should prioritise providing the following documents:
  1. commercial register extract
  2. articles of association
  3. business plan
  4. financial plan
  5. annual financial statements
  6. loan and funding agreements
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Always use the current ECSP checklist provided by your Financing Manager when compiling the documentation. Additional documents may be required depending on the company's structure and the specific offering.