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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Read the untranslated law here: http://www.gesetze-im-internet.de/eakav/BJNR247700013.html

Regulation on the electronic notification procedure for domestic investment funds and EU investment assets after the investment (EAKAV) EAKAV Ausfertigung date code: 16.07.2013 full quotation: "regulation on the electronic notification procedure for domestic investment funds and EU investment assets after the investment law of July 16, 2013 (BGBl. I S. 2477)" footnote (+++ text detection from: 22.7.2013 +++) input formula on the basis of § 312 paragraph 8, sentence 1 and section 331 paragraph 2 sentence 2 of the investment law by July 4, 2013 (BGBl. I S. 1981) in conjunction with § 1 number 3a of regulation on the transfer of powers to the Adoption of regulations on the Federal Agency for financial services supervision, most recently by article 1 of the Decree of 11 July 2013 (BGBl. I S. 2231) is changed, ordered the Federal Agency for financial services supervision: article 1 scope this regulation is to apply to the transmission of display writing and the other documents to the Federal Agency for financial services supervision (Bundesanstalt) after 1 § 312 paragraph 1 and 4 of the investment law through UCITS management corporations and EU UCITS management companies , the units or shares in a domestic UCITS managed by them in another Member State of the European Union or in another Contracting State to the agreement on the European economic area to distribute intend, or by one of them appropriately authorised person 2. Article 331, paragraph 1 and 3 of the investment law through AIF capital management companies, the units or shares of an EU AIF managed by them or a domestic AIF managed by them in other Member States of the European Union or parties to the agreement on intend to distribute the European economic area to professional investors or by a person authorized by them accordingly.

§ 2 individual ads and possibility of summary of ads; Power of Attorney (1) that are showing according to § 312 paragraph 1 and article 331, paragraph 1, of the investment code to carry out individually for each investment asset pools.
(2) by way of derogation from paragraph 1 the display for multiple sub-funds investment, an umbrella construction can be done by a single letter of the display.
(3) if the display is made by an authorized person, is a valid power of attorney be attached to the display.

§ 3 route of transmission (1) is the display of the Federal agency about their reporting and publication platform portal (MVP Portal) to deliver 1.
(2) the authorisation to use the MVP Portal depends on the procedures provided for by the Federal. The details can be found the user manual to the MVP portal. One is the signed access application EU UCITS management company or AIF capital management company signed declaration to add, that the person applying for the approval, is working for the company and entitled to the delivery of ads under this regulation by the Executive Board of the UCITS management company. Changes of the information contained in this certificate are to communicate immediately to the Federal Agency. Sentence 3 shall not apply if the Managing Director himself apply for admission. The sentences 3 to 5 shall apply for authorised persons with the proviso that the authorised person takes the place of the Executive Board.
1 official note: In the Internet available at www.bafin.de under the heading "data & documents MVP Portal/reporting platform MVP Portal".

§ 4 transfer formats (1) are display writing and other documents only in PDF file formats, to provide DOC or DOCX.
(2) the files to be transmitted in the context of an ad are twofold before the delivery of the notifiable as a packaged ZIP file. Neither the Interior nor the outer ZIP package must be provided with a password.
(3) the transmission of multiple ads in a ZIP file is not allowed.

§ 5 the files packaged in the inner ZIP file name of the files to be transmitted (1) for display according to § 312 paragraph 1 of the investment code are as follows to call: 1 display writing: BaFin-ID and name "notification letter", 2nd plant conditions: BaFin-ID and name 'terms and conditions for investment", 3. statutes: BaFin-ID and name"Articles of Association", 4. prospectus: BaFin-ID and name"Prospectus", 5th annual report : BaFin-ID and name "Annual report", 6th semi-annual report: BaFin-ID and name "half-yearly report", 7 key investor information: BaFin-ID and name "key investor information", 8 additional documents to enclose the display referred to in part B, point 3 of the display writing according to the laws, regulations and administrative provisions of each Member State are: BaFin-ID and a label identifying the content, 9 letter to the supplementary notification according to § 6 sentence 3: BaFin-ID and name "Supplementary indication".
The outer and the inner ZIP file contained therein is as follows: "P312KAGB_" + BaFin ID + "_beliebiger Dateiname.zip".
(2) for the display according to article 331, paragraph 1, of the investment code, the files packaged in the inner ZIP file are as follows to call: 1 display writing: BaFin-ID and name "notification letter", 2nd plant conditions, on the one hand or on the other statutes or memorandum of Association: BaFin-ID and label "Terms and Conditions for Investment" on the one hand, or on the other hand "articles of Association", 3rd annual report: BaFin-ID and name "Annual report", 4. writing to the supplementary notification according to § 6 set of 3 : BaFin-ID and name "Supplementary indication".
The outer and the inner ZIP file contained therein is as follows: "P331KAGB_" + BaFin ID + "_beliebiger Dateiname.zip".
(3) § 2 paragraph 3 is to be in power of attorney as follows to call: BaFin-ID and label "Power of Attorney".

§ 6 supplement ad has the Federal missing information or documentation according to § 312 paragraph 4 sentence 2 or § 331 paragraph 3 sentence 1 of the investment code is requested, the notifiable has a supplementary notification to make the MVP portal. Paragraphs 2 to 5 shall apply accordingly. A cover letter is the supplementary notification to be attached, from which arises the filings refer to which ad.

Article 7 entry into force, expiry this regulation enters into force on July 22, 2013. At the same time the regulation on the electronic notification procedures for compliant domestic investment funds under the investment law of June 28, 2011 (Federal Law Gazette I p. 1302) override.