Regulation on the advertising and presentation of documents in accordance with the Banking Act (Ad Ordinance-AnzV)

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AnzV

Date of date: 19.12.2006

Full quote:

" Advertising Regulation of 19 December 2006 (BGBl. 3245), the most recent of which is Article 2 (40) of the Law of 1 April 2015 (BGBl. I p. 434).

Status:

Last amended by Art. 2 para. 40 G v. 1.4.2015 I 434

For more details, please refer to the menu under Notes
This Regulation shall also serve to further the implementation of Directive 2006 /48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions (recast) (OJ L 177, 30.6.2006, p. EU No 1) and Directive 2006 /49/EC of the European Parliament and of the Council of 14 June 2006 on the capital adequacy of investment firms and credit institutions (recast) (OJ L 177, 30.6.2006, p. 1). EU No L 177 p. 201).

Footnote

(+ + + Text evidence from: 31.12.2006 + + +) 
(+ + + Official note from the norm-provider on EC law: 
 Implementation of the 
 ERL 48/2006 (CELEX Nr: 306L0048) 
 ERL 49/2006 (CELEX Nr: 306L0049) + + +) 

  

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Input formula

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht)

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pursuant to section 24 (4) sentences 1 and 3, also in conjunction with Section 2b (1) sentences 2 and 3 of the Banking Act, as amended by the Notice of 9 September 1998 (BGBl. 2776), of which § 2b (1) sentence 2 and 3 were last amended by Article 6 (5) (a) of the Law of 21 June 2002 (BGBl). 2010) and Section 24 (4), most recently by Article 1 (30) of the Law of 17 November 2006 (BGBl. 2606), after consultation with the leading associations of the institutions, in agreement with the Deutsche Bundesbank, and

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Article 31 (1), first sentence, No. 1 of the Banking Act, as amended by the Notice of 9 September 1998 (BGBl). 2776), in consultation with the Deutsche Bundesbank,

in connection with Section 1 (5) of the Regulation on the delegation of powers to the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht) of 13 December 2002 (BGBl. 3), as last amended by the Regulation of 17 November 2005 (BGBl I). 3187) has been amended: Unofficial table of contents

§ 1 Procedure for submissions

(1) The advertisements and the documents to be submitted or submitted under the Banking Act and to be specified in more detail by this Regulation shall be, subject to deviating provisions in this Regulation, in a simple manner. the Bundesanstalt für Finanzdienstleistungsaufsicht (Bundesanstalt für Finanzdienstleistungsaufsicht) (Bundesanstalt für Finanzdienstleistungsaufsicht) and the head office of the Deutsche Bundesbank responsible for the Institute Ads and templates of documents of financial holding companies and mixed financial holding companies according to § 12a (1) sentence 3, para. 3 and § 24 (3a) of the Banking Act are the main administration in whose area the parent Companies according to § 10a (3) sentence 4 of the Banking Act as amended on 1 January 2007 or the conglomerate member of the banking and investment services industry with the highest balance sheet total has its registered office, (2) Credit institutions which are members of a cooperative audit association or be checked by the Examination Office of a Savings Banks and Giro Association, provided that the Bundesanstalt has issued a corresponding declaration of consent by the Association, the indications to be reimbured pursuant to this Regulation and documents to be submitted, with the exception of the notification in accordance with Section 24 (1a) No. 4 of the Banking Act, through its association with one further copy, for that particular item. The association has the advertisements and documents to the Bundesanstalt and the head office of the Deutsche Bundesbank, which is responsible for the institution concerned, in the case of the number of copies, in each case determined by this Regulation, with its opinion, in the case of savings banks, together with the opinion of the examining body, to forward it without delay. The Federal Institute may dispense with the separate opinion of the Examination Office. Unofficial table of contents

§ 2 (omitted)

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§ 3 Ads pursuant to § 10 (4a) sentence 4 and subsection 4b sentence 4 of the Banking Act in conjunction with Section 77 (2) and (3) of the Investment Act (unrealized reserves, committee of experts)

(1) Ads in accordance with Section 10 (4a) sentence 4 of the German Banking Act are to be submitted on request of the Bundesanstalt with the form "Display pursuant to section 10 (4a) sentence 4 of the KWG" according to Appendix 2 of this Regulation. In addition, the evaluation documents must be submitted at the request of the Federal Institute. (2) Show on the appointment of the members of expert committees pursuant to § 10 para. 4b sentence 4 of the Banking Act in conjunction with Section 77 (3) sentence 1 of the German Banking Act. Investment law in the version in force until 21 July 2013, on the departure of an expert or on changes to the information provided for in the second sentence, must be submitted to the Federal Institute in two copies. The following documents shall be attached to the advertisements concerning the appointment of the members of the expert committees:

1.

an uninterrupted, signed curriculum vitae of the expert who has all the first names, the birth name, the birthday, the place of birth, the private address and the nationality, an in-depth presentation of the professional training with evidence of sufficient theoretical and practical knowledge of real estate and in the field of the determination of the mortgage of land,

2.

a declaration in accordance with § 5 (1) sentence 1, no. 2 and sentence 2, and

3.

a statement by the expert, whether he is an employee of the Institute or of a company affiliated with that institution, is a member of a supervisory body of the Institute or of a company affiliated with that institution, for other reasons, the institution or a company associated with it is economically dependent, in close relations of a personal or a related nature, with members of the institution or of a company associated with it, which is at risk of: objectively influencing the expert, may justify, or share capital at the institution or in a company associated with it, and the value of such shares.

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§ 4 Ads pursuant to § 10, Section 8, Sentence 1 and 3 of the Banking Act (deduction credit)

Advertisements in accordance with § 10 (8) sentence 1 and 3 of the Banking Act must provide information on the amount and the nature of the calculation of the percentage, the credit terms and conditions of credit and the amount of credit that is relevant pursuant to section 10 (2a), second sentence, of the Banking Act. shall contain collateral. Advertisements pursuant to Section 10 (8) sentence 3 of the Banking Act are to be marked as change ads. Loans displayed in accordance with Section 10 (8), first sentence, of the Banking Act are not to be re-displayed in accordance with Section 10 (8), Sentence 3 of the Banking Act, if the legal business change of the credit conditions is based on an adjustment of the interest rate is limited in accordance with the development of the market interest rate. Unofficial table of contents

§ 5 Ads in accordance with Section 24 (1) No. 1 of the Banking Act (Personnel Changes)

(1) The following documents are submitted to the advertisements in accordance with Section 24 (1) No. 1 of the Banking Act concerning the intention to appoint a manager and the authorization of a person to represent the Institute in its entire business area. Add:

1.

an uninterrupted, self-signed curriculum vitae, which contains all the first names, the birth name, the birthday, the place of birth, the private address and the nationality, an in-depth presentation of the technical background, the names of all The undertaking for which that person has been active must include information on the nature of the activity, including ancillary activities, with the exception of volunteers; in the nature of the activity concerned, in particular, the power of representation shall be of that person, their internal decision-making powers, and that within the To present business units to companies, and

2.

a self-signed declaration by that person whether, at the moment, criminal proceedings have been brought against them, whether at an earlier date criminal proceedings have been brought against them for a crime or offence, or whether they or any of them have been prosecuting them; its managed enterprise, as a debtor, is or has been involved in insolvency proceedings or in a procedure for the delivery of an oath of insurance or a similar procedure.

The declaration provided for in the first sentence of the first sentence of the first subparagraph shall not take into account criminal proceedings which have been terminated or terminated with an acquittal or which have been terminated by a lack of sufficient suspicion or due to a procedural obstacle or which have been terminated by a person who has received an acquittal. (2) At the request of the Bundesanstalt, further information, in particular on existing activities as business manager, member of the supervisory board or board of directors of another Company or through existing direct holdings of the business manager in the Pursuant to Section 24 (3), second sentence, of the German Banking Act (Kreditwesengesetz), in which case § 11 applies accordingly, and further documents, in particular work certificates, which prove the preliminary activities indicated in the curriculum vitae, are to be submitted. (3) The above Provisions shall also apply to the appointment of a Director of the Executive Director, who shall perform his duties in the event of the prevention of a manager. Unofficial table of contents

§ 6 Ads in accordance with § 24 (1) No. 6 of the German Banking Act (branch office and cross-border provision of services without the establishment of a branch office in the third country)

The advertisement according to § 24 paragraph 1 no. 6 of the Banking Act must contain:

1.

the name of the State in which the branch has been established, moved or closed, or the cross-border service has been included or terminated;

2.

the address of the branch which has been set up, moved or closed; in the case of the installation of the branch, the new address and address of the branch, and

3.

the designation of all recorded banking or financial services transactions in accordance with the provisions of Section 1 (1) sentence 2 and subsection 1a sentence 2 of the Banking Act.

Several simultaneous displays in accordance with the first sentence can be summarised in a display, as long as their clarity is maintained. Unofficial table of contents

§ 7 Ads of institutions pursuant to § 12a (1) sentence 3, § 24 (1) (12) and (13), § 24 (1a) (1) and (2) and § 31 (3) sentence 2 of the Banking Act (qualifying holdings, active close ties, shareholdings in or Business relations with companies based abroad, exemptions)

(1) Individual advertisements of institutions relating to active participation in accordance with Section 12a (1) sentence 3 of the Banking Act, Section 24 (1) (12) and (13) of the Banking Act as well as in accordance with Section 31 (3) sentence 2 of the German Banking Act (Kreditwesengesetz) Form 'Active participation display' in accordance with Annex 3 to this Regulation. In the case of changes in the participation ratio, individual advertisements shall be submitted if:

1.

by the change 20 percent, 30 percent, or 50 percent of the capital or the voting rights of the company are reached, above or below the level,

2.

the company becomes a subsidiary or is no longer a subsidiary,

3.

the shares held in the company are no longer or are now intended to serve their own business operations by making a permanent link,

4.

the shares directly held are transferred wholly or in part to a subsidiary;

5.

in the case of wholly or partly indirectly held shares, the number or identity of the intermediary undertakings shall be changed or the shares shall now be wholly or partly held by the institution itself or redistributed among the parties concerned; or

6.

For the company, the exemption of Section 31 (3) sentence 1 of the Banking Act will be used.

(2) Collection advertisements of institutions relating to active participation in accordance with Section 24 (1a) Nos. 1 and 2 of the Banking Act and Article 31 (3), second sentence, of the Banking Act shall be subject to the status of 31 December of the previous year until 15 June of the The following year as a collection of continuously numbered divisional displays with the form "Active participation display" according to Appendix 3 of this Regulation must be submitted. (3) The indirectly held capital shares or voting rights shares are the indirect in each case. (4) Filling in a Participation ratio of several display cases, only one form is to be used. A separate form shall be used for each further notifiable participation ratio, taking into account the rules set out in sentence 1. In the case of complex investment structures, the panel must also be accompanied by the form "Complex participation structures" according to Annex 4 to this Regulation. Complex investment structures are in particular present in the case of trusteeship relationships and in the case of holdings which are simultaneously directly and indirectly through one or more subsidiaries or a similar ratio or over several (5) At the request of the Bundesanstalt or the competent head office of the Deutsche Bundesbank, further information, in particular on the carrying amount, the acquisition price and the disposal proceeds, must be submitted. (6) The individual advertisements and collective displays are to be found in the paperless proceedings of the Deutsche Bundesbank to be submitted. The Deutsche Bundesbank publishes on its website the record formats to be used for data submission by means of remote data transmission and the route of submission. She has forwarded the advertisements submitted to her to the Bundesanstalt. If a credit institution referred to in § 1 (2) participates in the paperless filing procedure, it shall, by way of derogation from § 1 (2), submit only one copy in a format agreed with its association. By way of derogation from Section 1 (2), the association only forwards the above-mentioned statements to the Federal Institute and to the head office of the Deutsche Bundesbank, which is responsible for the relevant institute, in a simple manner. In the case of paper-bound submission, § 1. (7) (omitted) Unofficial table of contents

§ 8 Ads in accordance with § 24 (1) Nos. 10 and 12 and § 24 (1a) No. 1 and 3 of the Banking Act (significant holdings and passive close links)

(1) Individual advertisements relating to passive participation conditions in accordance with § 24 (1) Nos. 10 and 12 of the Banking Act must be submitted with the form "Passive participation display" in accordance with Annex 5 to this Regulation. In the case of changes in the participation ratio, individual advertisements shall be submitted if:

1.

by the change of 20 percent, 30 percent, or 50 percent of the capital or voting rights at the institute are reached, above or below the level,

2.

the institute becomes or is no longer a subsidiary or affiliate of another company,

3.

the shares directly held are transferred in whole or in part to an intermediary undertaking; or

4.

in the case of wholly or partly indirectly held shares, the number or identity of the intermediary undertakings is changed or the shares are now held wholly or partly by the shareholder himself.

(2) Collection advertisements on passive participation conditions in accordance with Section 24 (1a) No. 1 and 3 of the German Banking Act (Kreditwesengesetz) shall be based on the status of 31 December of the previous year up to 15 June of the following year using the form "Passivische Beteiligungsanzeige" (Passive participation display) (3) § 7 (3), (4) and (6) shall apply accordingly, with the proviso that the company's relationship with the sister company also constitutes a complex shareholding structure within the meaning of Section 7 (4) sentence 3. Unofficial table of contents

§ 9 General advertisements in accordance with Section 24 (1a) No. 4 of the German Banking Act (number of branches in the domestic sector)

(1) The indication of the number of domestic branches pursuant to Section 24 (1a) No. 4 of the Banking Act shall be submitted annually until 31 January of the following year in accordance with the status of 31 December of the previous year. The Federal Institute shall submit the notification only on request. (2) In the calculation of the number of branches, branches shall also be taken into account, which have been or are only temporarily closed for a period of up to twelve months. Not to be taken into account are branch offices which:

1.

have been established only temporarily for a period of up to 12 months,

2.

only provide automated banking or financial services, or

3.

are used exclusively for the operation of transactions that are not banking or financial services.

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§ 10 Ads in accordance with Section 24 (2) of the Banking Act (Association of Institutes)

The intention of institutions to unite is to be notified by the participating institutions in accordance with Article 24 (2) of the Banking Act, as soon as it is to be assumed, on the basis of the negotiations conducted, that the association will be concluded. The failure of the merger negotiations shall be notified without delay. The same applies in the case of successful merger negotiations for the legal enforcement of the association. Unofficial table of contents

§ 11 Ads in accordance with § 24 (3) sentence 1 of the Banking Act (Managing Director)

(1) Ads pursuant to section 24 (3) sentence 1 no. 1 of the German Banking Act are "secondary activities of directors and persons who actually do the business of a financial holding company or of a mixed financial holding company" (2) Ads pursuant to Section 24 (3) Sentence 1 (2) of the Banking Act are subject to the form " participations of directors and persons who are responsible for the transactions of a financial holding company or of a financial holding company. a mixed financial holding company " according to Appendix 7 of this Regulation. A change indicator is to be issued only if the holding reaches 30 percent or 50 percent of the company's capital, above or below it. Section 7 (5) and (6) shall apply accordingly. Unofficial table of contents

§ 12 Ads according to § 24a (1), (3) and (4) of the German Banking Act (Kreditwesengesetz) (establishment of a branch and the provision of cross-border services in another State of the European Economic Area)

(1) Ads in accordance with Section 24a (1), (3) and (4) of the Banking Act shall be submitted separately for each State of the European Economic Area. In the case of the host countries Austria, Liechtenstein and Luxembourg, the advertisements in accordance with Section 24a (1) and (3) of the German Banking Act (Kreditwesengesetz) have a second copy and, in the case of the other States of the European Economic Area, a second copy. To be accompanied by a translation into an official language of the host country. If, in accordance with Section 24a (4) of the Banking Act, the change notification is not written to the competent authority of the host State in an official language of that State, the latter shall be subject to an officially certified translation into such an official language. (2) A change notification pursuant to Section 24a (4) of the Banking Act shall also be submitted if the branch office is closed or the cross-border service provided is terminated. (3) The business plan shall be provided for business activities in accordance with the requirements set out in Annex 1 to Directive 2006 /48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions (recast) (OJ L 177, 30.6.2006, p. EU No 1) and Annex I to Directive 2004 /39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments, amending Council Directives 85 /611/EEC and 93 /6/EEC and Directive 2000 /12/EC of the European Parliament and of the Council of 21 April 2004 on the markets in financial instruments European Parliament and Council and repealing Council Directive 93 /22/EEC (OJ L 196, 27.7.1993, p. EU No L 145 p. 1, 2005 No 18), as amended by Directive 2006 /31/EC of the European Parliament and of the Council of 5 April 2006 (OJ L 376, 27.12.2006, p. EU No 60). (4) The following provisions shall also apply to advertisements in accordance with Section 24a (1) of the German Banking Act (Kreditwesengesetz):

1.

Statutory restrictions on the extent of the permit must be set out; building societies must point out that the receipt of deposits and the taking of lending are to be carried out in the form of the construction-saving business.

2.

All the prospective transactions to be carried out in the branch shall be explained in detail, the development of which shall be estimated for the first three years, and the staffing required for that purpose.

3.

If the establishment of several operating points in the host Member State is planned, further details should be provided for this purpose.

4.

The business plan must also constitute the organisational structure of the branch. To this end, the internal decision-making powers, the power of representation and the nature of the involvement of the branch are to be described in the internal control procedure of the institute.

5.

Curriculum vitae of the head of the branch with a special description of their professional career shall be included.

Sentence 1 shall apply mutagenically to the changes in the ratios of existing branches to be displayed in accordance with Section 24a (4) of the Banking Act. Unofficial table of contents

§ 13 Presentation of documents according to § 26 of the Banking Act (annual accounts, location and audit reports)

When the annual financial statements have been submitted, the date of the determination shall be indicated. Unofficial table of contents

§ 14 Ads and submission of documents pursuant to § 32 (1) of the Banking Act (Applications for permission)

(1) Applications and documents pursuant to Section 32 (1) of the German Banking Act must be submitted to the Federal Office in triplicate. (2) The applications must indicate which of the banking transactions referred to in Section 1 (1) sentence 2 of the Banking Act, or the financial services referred to in Article 1 (1a), second sentence, and 3 of the Banking Act are requested for permission. The applications shall be accompanied by certified copies of the foundation documents, the social contract or the articles of association, and the rules of procedure provided for the management. In addition, the proposed directors must be appointed. (3) Proof of the funds required for the business operation pursuant to § 32 (1) sentence 2 no. 1 of the Banking Act is a confirmation of a deposit credit institution based in a State of the To submit to the European Economic Area that the initial capital is paid as well as free from the rights of third parties and is at the free disposal of the business managers. Proof can also be provided with the consent of the Federal Institute by written confirmation of a examiner who, in the case of the granting of permission, would be entitled to check the annual financial statements of the applicant, via the existing (4) In order to assess the reliability of the directors, the declarations provided for in Article 5 (1), first sentence, No. 2 and second sentence 2 must be made. (5) To assess the Reliability of applicants and holders of significant shareholdings and Examination as to whether the permission in accordance with § 33 (1) sentence 1 (1) (3) or (3) of the Banking Act is to be refused, are the declarations and documents mentioned in § 8 number 1 to 5, § § 9 to 11 and 14 of the bearer control regulation and to provide information at the request of the Federal Agency. Each curriculum vitae in accordance with § 10 of the bearer control regulation must be signed by its own hand. § § 4, 5 and 16 of the bearer control regulation must be applied accordingly. (6) In order to assess the professional suitability of the holders and managers required for the management of the institute, the documents referred to in § 5 (1) sentence 1 no. 1 (7) The business plan to be annexed to the application pursuant to Article 32 (1), second sentence, No. 5 of the Banking Act shall contain the following information:

1.

the nature of the operations envisaged, with a reasoned indication of their future development, to be presented for the first three full financial years after the start of the business operation, and in the case of flat-rate balance sheets and flat-rate and loss-of-loss accounts,

2.

the presentation of the organisational structure of the Institute, with the presence of an organisation which, in particular, shows the responsibilities of the directors; it must be stated whether and where branch offices are to be established; and

3.

the presentation of the internal control procedures of the Institute.

(8) At the request of the Bundesanstalt, further information and documents shall be provided, insofar as this is necessary for the assessment that there are no reasons for the failure of the permission requested. Unofficial table of contents

§ 15 Ads pursuant to § 53a sentence 2 and 5 of the German Banking Act (Kreditwesengesetz) (representative offices of institutions with headquarters abroad)

(1) Ads concerning the establishment of a representative office pursuant to § 53a sentence 2 of the Banking Act must contain the following information:

1.

the exact name and address of the representative office,

2.

the name of the head or the head of the representative office,

3.

The nature and scope of the activity of the representative office,

4.

Date of commencement of the activity of the representative office,

5.

the name or company, registered office and address of the institution which established the representative office;

6.

Address of the main administration of the Institute,

7.

The Institute's business object,

8.

the nature of the activities actually carried out by the institution in the State of the host State and, by way of derogation, in the State of the headquarters of the head office; and

9.

Name and address of the authority whose supervision is subject to the institution in the State of the sitting and, if different, in the State of the head office of the head office.

(2) The following documents shall be attached to the advertisements concerning the establishment of a representative office:

1.

a legally binding declaration by the Institute that it has decided to set up the representative office and entrusted the persons designated pursuant to paragraph 1 (2) with the management of the representative office;

2.

a declaration that no banking transactions are operated within the meaning of Section 1 (1) sentence 2 of the Banking Act and that no financial services are provided within the meaning of Section 1 (1a) sentence 2 of the Banking Act and the name or the company of the Institute is only used with the addition of "representative office",

3.

the final annual accounts and annual report of the Institute; and

4.

a certificate of the authority certified by the German diplomatic or consular post in the State in which the institution is located, the supervision of which is subject to the supervision of the Institute in the State of the State and, if different, also in the State of the seat of the head office, in which this authority confirms that:

a)

the institution of its prudential supervision is not subject to a system of solvency supervision by the institution, or if the institution does not have a local statute,

b)

the institution has a permit issued by the institution to operate the transactions in the State concerned, insofar as it concerns banking transactions within the meaning of Section 1 (1) sentence 2 of the Banking Act or financial services within the meaning of Section 1 (1a) 2 of the Banking Act, or a permit is not required by the local staff regulations;

c)

monitor the institution with its subsidiaries, which are credit institutions, financial institutions or ancillary services providers, on a consolidated basis, or if such supervision is not provided for by local staff regulations; and

d)

the institution has obtained a general or special permit to establish the representative office or that such permission is not provided for by the local staff regulations.

The documents referred to in the first sentence of paragraph 2 are to be attached only at the request of the Federal Office of the Ad. (3) A change indication according to § 53a sentence 5 of the Banking Act is also subject to changes which occur during the existence of the representative office. in relation to the information contained in the statement of installation in accordance with Section 53a sentence 2 of the Banking Act. Unofficial table of contents

§ 16 Ads of financial holding companies and mixed financial holding companies according to § 12a (1) sentence 3, also in conjunction with paragraph 3, as well as in accordance with section 24 (3a) of the Banking Act (disclosure requirements for financial holding companies, mixed financial holding companies)

(1) Individual advertisements of the financial holding company or of the mixed financial holding company pursuant to section 12a (1) sentence 3, also in conjunction with paragraph 3, of the Banking Act as well as in accordance with Section 24 (3a) sentence 4 and 5 semi-sentence 2 of the Banking Act by using the form "Active participation display" in accordance with Annex 3 to this Regulation. According to § 24 (3a) sentence 2 and 5 half-sentence 2 of the German Banking Act (Kreditwesengesetz), as of December 31 of the previous year, the collection displays up to 15 June of the following year as a collection of consecutively numbered partial displays with the form " Activische Participation display " in accordance with Annex 3 to this Regulation. Section 7 (1) sentence 2 and subsection 3 to 6 applies accordingly. (2) For the advertisements in accordance with § 24 (3a) sentence 1 No. 1 and sentence 5 half-sentence 1 of the Banking Act on the intention of ordering a person who is the business of the financial holding company or the a mixed financial holding company shall apply in accordance with Section 5. Unofficial table of contents

§ 16a Transitional provision

§ 2 of this Regulation in the version valid until 24 March 2009 is to continue to apply to ads in accordance with § 2c of the Banking Act in the version valid until 17 March 2009. Unofficial table of contents

Section 17 Entry into force, external force

This Regulation shall enter into force on 31 December 2006. Unofficial table of contents

Appendix 1 (omitted)

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Annex 2 (to § 3 (1))
Display according to § 10 (4a) sentence 4 of the KWG
(Unrealised Reserves)

(Content: non-representable pattern of a display,
Fundstelle: BGBl. I 2006, 3256) Unofficial table of contents

Annex 3 (to § 7 (1) and (2) and § 16 (1))
Active participation display

(Content: non-representable pattern of a display,
Fundstelle: BGBl. I 2006, 3257-3259;
with regard to of the individual amendments. Footnote) Unofficial table of contents

Annex 4 (to § 7 para. 4, § 8 (3) and § 16 (1))
Facility for complex investment structures

(Content: non-representable design of a plant,
Fundstelle: BGBl. I 2006, 3260) Unofficial table of contents

Annex 5 (to § 8 (1) and (2))
Passive participation display

(Content: non-representable pattern of a display,
Fundstelle: BGBl. I 2006, 3261-3263;
with regard to of the individual amendments. Footnote) Unofficial table of contents

Appendix 6 (to § 11 para. 1)
Ancillary activities of directors and persons who actually carry out the business of a financial holding company or a mixed financial holding company
(Display pursuant to section 24 (3) sentence 1 no. 1 of the KWG)

(Content: non-representable pattern of a display,
Fundstelle: BGBl. I 2006, 3264) Unofficial table of contents

Annex 7 (to section 11 (2))
Holdings of directors and persons who actually conduct the business of a financial holding company or of a mixed financial holding company
(Display pursuant to section 24 (3) sentence 1 no. 2 of the KWG)

(Content: non-representable pattern of a display,
Fundstelle: BGBl. I 2006, 3265-3266)