Regulation on the initial display of financial services institutions and securities trading banks in accordance with the law on credit (first-time regulation-first time)

Unofficial table of contents

ErstAnzV

Date of completion: 29.12.1997

Full quote:

" Erstanzeigenverordnung vom 29. Dezember 1997 (BGBl. I p. 3412) "

Footnote

(+ + + Text evidence from: 1.1.1998 + + +) Unofficial table of contents

Input formula

Pursuant to Article 24 (4) of the Law on Credit, which is defined by Article 1 (36) of the Law of 22. October 1997 (BGBl. 2518), in conjunction with Section 1 of the Regulation on the transfer of powers to the Federal Supervisory Office of 19 December 1997 (BGBl) for the purpose of transferring legal orders to the Federal Supervisory Office. 3156), the Federal Supervisory Office for the credit sector, in agreement with the Deutsche Bundesbank, after hearing the leading associations of the institutes: Unofficial table of contents

§ 1

Advertisements in accordance with Section 64e (2) sentence 1 of the Law on Credit Services (KWG) are up to 1 April 1998 according to the status of 31 December 1997 with the form "Display pursuant to section 64e para. 2 sentence 1 KWG (financial services institutions/securities trading banks)" (Annex) to the Federal Supervisory Office for the credit system in two copies and the head office of the responsible Landeszentralbank in triplicate. to submit. The display shall be accompanied by copies of the authorisations and orders issued by the competent authorities, as well as up-to-date register excerpts, in the copies intended for the display. Unofficial table of contents

§ 2

This Regulation shall enter into force on 1 January 1998. Unofficial table of contents

Appendix Display according to § 64e paragraph 2 sentence 1 KWG
(Financial services institutions and securities trading banks) 1)

Source of the original text: BGBl. I 1997, p. 3413

 To the Landeszentralbank: 
 --------------------------- 
Federal Supervisory Authority I shall be carried out by BAK/LZB I 
for the credit I filled out I 
----------------------------------------------------------------------- I 
Notifiable 2)-I borrower unit no.  I 
Name or Company I I I I I I I I I 
----------------------------------------------------------------------- I 
Street and house no.  I Identnr. of the I 
 I Taxable I 
 I I I I I I I I 
----------------------------------------------------------------------- I 
Postcode Residence or seat 3) I BAK-Nr.  of the 
 I Taxable I 
 I I I I I I I I 
----------------------------------------------------------------------- I 
Births-Birth-if necessary  Birth-phone and fax number  Urn-No  I 
date place name of company I I I I I 
------------------------------------------------------------------------ 
 Register Type Register-No. 
-- A registered trade is available: 
------------------------------------------------------------------------ 
Further information: 4) 
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From the scoreboard to the level of 31 December 1997, from the date of 
1.1.1998 Banking and financial services subject to permit 
(Section 1 (1), second sentence, no. 4 and 10, paragraph 1a, sentence 2 of the KWG) 5) 
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201 -- The acquisition and disposal of financial instruments pursuant to § 1 
 Par. 11 KWG in its own name for foreign account 
 (Financial Commissions business) 6) 
202 -- Adoption of financial instruments at your own risk 
 Placing or taking on equivalent guarantees 
 (Emissions business) 
203-brokerage of shops and the purchase of 
 Disposal of financial instruments or proof thereof 
 (investment mediation) 
204 -- The acquisition and disposal of financial instruments in foreign countries 
 Name for foreign invoice (final placement) 
205 -- Management of individual 7) in financial instruments 
 Assets for others with decision margin 
 (financial portfolio management) 
206 -- The acquisition and disposal of financial instruments by means of 
 Own-trade for others (own trade) 8) 
207-placement of deposit transactions with companies with registered offices 
 outside the European Economic Area 
 (third country deposit mediation) 
208 -- Payment orders concern (financial transfer business) 
209 -- Trade in varieties (variety business) 
------------------------------------------------------------------------ 
300 -- The crossed banking transactions/financial services will 
 9) 
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400 -- The cross-country banking/financial services will be 
 as main activity 10) 
------------------------------------------------------------------------ 
500 -- The scorer shall have the power to perform 
 Financial services ownership or ownership of funds or 
 to provide securities to customers 
------------------------------------------------------------------------ 
600 -- The scoreboard conducts trading in financial instruments 
 Own account 11) 
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700 -- The transactions in financial instruments are limited to 
 Foreign exchange, units of account or derivatives, the price of which shall be 
 Stock exchange or market price of goods or precious metals depends on 
------------------------------------------------------------------------ 
810 -- Copy (s) previously granted permission (se) or  Order (s) 
 Competent authorities are attached 12) 
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820 -- Current register extract is attached 
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Place, Date Company/Signature 
------------------------------- ------------------------------------- 
  
Clerk/-in phone number 
------------------------- --------------------- 
  
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I The permission can in principle only be granted in accordance with § 64e paragraph 2 sentence 2 I 
I KWG shall be deemed to be granted if the ad according to § 64e I 
2 sentence 1 of the KWG with the information listed above on time, I 
I means entrance to the Federal Supervisory Office for the credit sector and the I 
I for the head office of the national central bank responsible for the company-I 
I Main administration of the Deutsche Bundesbank-at the latest on 1 April I 
I was tabled in 1998.  I 
------------------------------------------------------------------------   

Footnotes

1)

Companies which are not regarded as financial services institutions pursuant to Article 2 (6) of the KWG do not have to be subject to notification.

2)

In the case of natural persons: pre- and surname, if necessary Birth name, birthday and place of birth, full address, Firma.For legal persons and partnerships: company, legal form, registered office according to register registration.

3)

In the case of natural persons with a business and residence address: residential address (first residence).

4)

For legal persons and persons trading companies: name and address of the directors/personally liable partners and, where applicable, Address of the main administration and foreign branches. Information on separate sheet.

5)

The number of the predominant activity is to be underlined.

6)

To the extent that the financial instruments are securities and their derivatives, this has already been a banking business which has previously been subject to authorization as an effect business. The transitional provision of Section 64e (2) sentence 1 of the KWG is therefore applicable only to the Commission business in money market instruments, foreign currency and units of account and their derivatives and derivatives, the price of which is from the stock exchange or market price of goods or Precious metals depend.

7)

Even if the portfolios of different clients are grouped together.

8)

Trade in your own name for your own account as a service to others.

9)

Unless all banking transactions and financial services allowed under 201 to 209, subject to permit from 1 January 1998, are continued and, on a separate sheet, those banking transactions/financial services which are to be continued.

10)

In the case of exercise as a secondary activity, details of the business activity as a whole are to be made on a separate sheet.

11)

Trade in own name for own account not as a service to others.

12)

For example, pursuant to Section 7 (1) or § 30 (1) of the Stock Exchange Act, or § 34c of the Industrial Code and/or a confirmation from the competent authority concerning the start of the business (§ 15 of the Industrial Code).