Regulation On The Initial Indication Of Financial Services Institutions And Investment Bank According To The Law On Banking

Original Language Title: Verordnung über die Erstanzeige von Finanzdienstleistungsinstituten und Wertpapierhandelsbanken nach dem Gesetz über das Kreditwesen

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Regulation on the initial display of financial services institutions and securities trading banks under the law on credit (First AnzV)

Non-official Table of Contents

First AnzV

Date of Date: 29.12.1997

Full quote:

" The first time regulation of 29 December 1997. December 1997 (BGBl. I p. 3412) "

footnote

(+ + + text evidence from: 1.1.1998 + + +) unofficial table of contents

input formula

On the basis of section 24 (4) of the law on the credit system provided for 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 the Federal Republic of Germany of the Federal Republic of Germany (Bundessupervisory Office) for the credit system of 19 June 2009. December 1997 (BGBl. 3156), the Federal Supervisory Office for the credit sector, in agreement with the Deutsche Bundesbank, after hearing the leading associations of the institutes: Non-official table of contents

§ 1

Ads pursuant to § 64e paragraph 2 sentence 1 of the Law on Credit (KWG) are up to 1. April 1998, as of 31 April 1998. December 1997, with the form "Display pursuant to section 64e (2) sentence 1 KWG (financial services institutions/securities trading banks)" (annex) to the Federal Supervisory Office for the credit sector in two copies and the head office of the competent authorities National Central Bank must be submitted in triplicate. 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. Non-official table of contents

§ 2

This regulation occurs on the 1. January 1998. Non-official table of contents

Asset Display pursuant to § 64e paragraph 2 sentence 1 KWG
(financial services institutions and securities trading banks) 1)

Fundstelle of the original text: BGBl. I 1997, p. 3413
 To the Landeszentralbank:
---------------------------
Bundessupervisory Office I is provided by BAK/LZB I
for the credit I completed I
----------------------------------------------------------------------- I
Display subject 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. I

I I
I I I I I I I I
----------------------------------------------------------------------- I
Postal code of residence or seat 3) I BAK-Nr. of the I
I
I I I I I I I I I I I I
----------------------------------------------------------------------- I
Birth Birth-if applicable Birth-phone and fax number Urn-No I
date place name of company I I I I
------------------------------------------------------------------------
RegisterType Register-No.
-- A registered business is present:
------------------------------------------------------------------------
For more information: 4)
------------------------------------------------------------------------
The indicator is at the level of 31 December 1997, starting from the
1.1.1998 Banking and financial services subject to authorization
(§ 1 para. 1 sentence 2 nos. 4 and 10, para. 1a sentence 2 KWG) 5)
------------------------------------------------------------------------
201 -- purchase and sale of financial instruments in accordance with § 1
para. 11 KWG in its own name for foreign invoice
(financial commission business) 6)
202 -- Adoption of financial instruments for own risk to
placement or the acquisition equivalent guarantees
(emissions trading)
203 -- Transfer of transactions through purchase and
disposal of financial instruments or their proof
(investment placement)
204 -- Acquisition and disposal of financial instruments in foreign
Names for foreign invoice (terminating agency)
205 -- Administration of individual 7)
assets in financial instruments for others with Decision margin
(financial portfolio management)
206 -- The purchase and sale of financial instruments by way of the
own-trade for other (own-trade) 8)
207 -- placement of deposit-in transactions with Companies with registered office
outside the European Economic Area
(third country deposit mediation)
208 -- Payment orders (financial transfer business)
209 -- Trade in varieties (variety business)
------------------------------------------------------------------------
300 -- Bank stores/financial services that are crossed will continue to
9)
------------------------------------------------------------------------
400 -- The cross-banking/financial services are operated
as the main activity 10)
------------------------------------------------------------------------
500 -- The indicating end is authorized to own or hold funds or
securities in the provision of
financial services. To create a customer
------------------------------------------------------------------------
600 -- The display legend operates trading of financial instruments on
own account 11)
------------------------------------------------------------------------
700 -- The transactions in financial instruments are limited to
foreign exchange, unit of account, or derivative, the price of which is from the
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)
------------------------------------------------------------------------
820 -- Current register dump is attached
------------------------------------------------------------------------

location, date Company/Signature
------------------------------- -------------------------------------

Clerk/-in Phone Number
------------------------- ---------------------

------------------------------------------------------------------------
I The permission may, in principle, be deemed to be granted only in accordance with § 64e (2) sentence 2 I
I KWG if the advertisement according to § 64e I
I para. 2 sentence 1 KWG with the information listed above on time, I
I, i.e. Entrance to the Federal Supervisory Office for the credit system and the central bank responsible for the headquarters of the company-I

I the head office of the Deutsche Bundesbank-at the latest on the first day of the year. April I
I 1998. I
------------------------------------------------------------------------

footnotes
1)
For companies that do not qualify as financial services institutions pursuant to § 2 sec. 6 KWG, there is no obligation to notify.
2)
For 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 entry.
3)
In the case of natural persons with a business and residence address: residential address (first residence).
4)
For legal persons and partnerships: name and address of the managing directors/personally liable partners and, if applicable, Address of the main administration and of foreign branches. Add details on a separate sheet.
5)
The number of the predominately performed activity is to be underlined.
6)
As far as the financial instruments are securities and their derivatives, this has been a securities business already subject to authorizing banking. The transitional provision of Section 64e (2) sentence 1 of the KWG therefore applies 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 exchange or market price of goods or Precious metals depend.
7)
Even though assets of different customers are grouped together in the portfolios.
8)
Trade in your own account for your own account as a service to others.
9)
As far as not all under 201 to 209 banking transactions and financial services, which are subject to authorisation from 1 January 1998 onwards, are to be carried out on a separate sheet with those banking transactions/financial services which are to be continued.
10)
On performance as a secondary activity, more information on the business activity is to be made on a separate sheet.
11)
Do not trade in your own account for your own account as a service to others.
12)
Z.B. pursuant to § 7 paragraph 1 or § 30 (1) of the Stock Exchange Act or § 34c of the Industrial Code and/or a confirmation from the competent authority of the beginning of the business (§ 15 of the Industrial Code).