Regulation On The Electronic Notification Procedure For Domestic Investment Funds And Eu Investment Assets After The Investment Code

Original Language Title: Verordnung zum elektronischen Anzeigeverfahren für inländische Investmentvermögen und EU-Investmentvermögen nach dem Kapitalanlagegesetzbuch

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Regulation on electronic display procedures for domestic investment assets and EU investment assets under the Capital Investment Code (EAKAV)

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EAKAV

Date of delivery: 16.07.2013

Full quote:

" Regulation on the electronic display procedure for domestic investment assets and EU investment assets under the Capital Investment Code of 16 July 2013. July 2013 (BGBl. I p. 2477) "

footnote

(+ + + text evidence from: 22.7.2013 + + +)

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input formula

On the basis of the first sentence of § 312 (8) and the second sentence of section 331 (2) of the capital investment code of 4. July 2013 (BGBl. 1981), in conjunction with Section 1 (3a) of the Regulation on the delegation of powers to the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht), as last amended by Article 1 of the Regulation of 11 June 1981. July 2013 (BGBl. 2231), the Bundesanstalt für Finanzdienstleistungsaufsicht (Bundesanstalt für Finanzdienstleistungsaufsicht) is ordering: Non-official table of contents

§ 1 Scope of application

Regulation shall apply to the transmission of the advertisement and the further documents to the Bundesanstalt für Finanzdienstleistungsaufsicht (Bundesanstalt für Finanzdienstleistungsaufsicht, Bundesanstalt) after
1.
§ 312 Paragraph 1 and 4 of the capital investment code by UCITS-capital management companies and EU UCITS management companies, the shares or shares in one of them domestic UCITS in another Member State of the European Union or in another State Party to the Agreement on the European Economic Area, or by one of them, empowered person,
2.
§ 331 (1) and (3) of the Capital Investment Code by AIF's capital management companies, the shares or shares in one of them or in other Member States of the European Union or in Contracting States to the Agreement on the European Economic Area, to professional investors in other Member States of the European Union, or or by a person authorized by them.
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§ 2 Individual advertisements and summary of the summary

(1) The advertisements in accordance with § 312 (1) and § 331 (1) of the Investment Code are to be carried out individually for each investment property.(2) By way of derogation from paragraph 1, the display for several partial vestments of an Umbrella Construction may be effected by means of a single display writing.(3) If the advertisement is made by an authorized person, the advertisement shall be accompanied by a valid proxy. Non-official table of contents

§ 3 Transfer Path

(1) The ad is the Federal Institute for its reporting and publication platform Portal (MVP) Portal) 1 .(2) The admission to the use of the MVP Portal is governed by the procedure provided for by the Federal Institute. The details are given in the MVP Portal User's Guide. The signed access request shall be accompanied by a declaration signed by the management of the UCITS capital management company, the EU UCITS management company or AIF's capital management company, to the effect that the person who is the person who is responsible for the Authorisation for authorisation, active in the company and for the transmission of advertisements pursuant to this Regulation. Any changes to the information contained in this certificate shall be immediately communicated to the Federal Institute. Sentence 3 shall not apply if the directors themselves apply for authorisation. The sentences 3 to 5 shall apply to authorized persons, with the proviso that the authorized person shall enter the office of the management
1
Official note: Available on the Internet at www.bafin.de in the section "Data & Documents-MVP Portal/Reporting Platform-MVP Portal".
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§ 4 transfer formats

(1) The display activity and other documents are to be transmitted only in the file formats PDF, DOC or DOCX.(2) The files to be transmitted in the context of a display shall be packed twice as a ZIP file by the person who is subject to the notification before the transmission. Neither the inner nor the outer ZIP package can be provided with a password.(3) The submission of multiple screens in a ZIP file is not allowed. Non-official table of contents

§ 5 Name of files to be transferred

(1) For the display in accordance with § 312, paragraph 1, of the capital investment code, the following are: To designate the files packaged in the inner ZIP file as follows:
1.
Display Description: BaFin ID and Notification Letter label,
2.
Investment Conditions :BaFin-ID and Label "Terms and Conditions for Investment",
3.
Statutes: BaFin-ID and the term "Articles of Association",
4.
Sales prospectus: BaFin ID and Prospectus label,
5.
Annual Report :BaFin-ID and Label "Annual Report",
6.
Half-Year Report: BaFin-ID and Label "Half-yearly Report",
7.
Key Investor Information: BaFin ID and Key Investor Information label,
8.
additional documents to be attached to the ad in accordance with Part B, point 3 of the display period, in accordance with the laws, regulations and administrative provisions of the host Member State are: BaFin ID and a label identifying the content,
9.
Letter to the supplement according to § 6 sentence 3 :BaFin-ID and designation
the external and the internal ZIP file contained in it are to be described as:
"P312KAGB_" + BaFin-ID + "_arbitrary filename.zip". (2) For the ad according to § 331, paragraph 1, of the capital investment code, the
1.
Display Description: BaFin ID and Notification Letter label,
2.
Investment conditions on the one hand or, on the other hand, statutes or social contract: BaFin-ID and term "Terms and Conditions for Investment" on the one hand or " Articles of Association ",
3.
Annual Report: BaFin ID and Label" Annual Report ",
4.
Write The additional display according to § 6 sentence 3 :BaFin-ID and designation "Supplementary indication".
The external zip file and the internal ZIP file contained therein are to be described as follows:
"P331KAGB_" + BaFin-ID + "_arbitrary filename.zip". (3) One pursuant to § 2 Paragraph 3 shall be designated as follows:
BaFin ID and designation "Full power". Non-official table of contents

§ 6 Supplementary displays

Has the Bundesanstalt missing information or documents in accordance with § 312 (4) sentence 2 or § 331 paragraph 3 sentence 1 of the capital investment code requested, the taxable person has to make a supplementary display via the MVP portal. § § 2 to 5 shall apply accordingly. The supplementary ad shall be accompanied by a cover letter indicating which indication the submitted documents relate to. Non-official table of contents

§ 7 Entry into force, override

This regulation occurs on the 22. July 2013 will be in force. At the same time, the regulation on the electronic display procedure for domestic investment assets in accordance with the investment law of 28 January 2010 is under the investment law of 28. June 2011 (BGBl. 1302).