Regulation on the advertisements in accordance with Section 2c of the Banking Act and Section 104 of the Insurance Supervision Act (bearer control regulation-InhControl V)
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InhControl V
Date of completion: 20.03.2009
Full quote:
" Owner Control Regulation of 20 March 2009 (BGBl. 562, 688), as last amended by Article 3 of the Regulation of 20 September 2013 (BGBl I). 3672). "
| Status: |
Last amended by Art. 3 V v. 20.9.2013 I 3672 |
For more details, please refer to the menu under
Notes
Footnote
(+ + + Text proof: 25.3.2009 + + +)
(+ + + Official note from the norm-provider on EC law:
Implementation of the
EGRL 44/2007 (CELEX Nr: 307L0044) + + +)
The V was referred to as Article 1 of the V v. 20.3.2009 I 562 from the Federal Financial Supervisory Authority after consultation of the leading associations of the institutes, in agreement with the Deutsche Bundesbank and in consultation with the insurance supervisory authorities of the countries. She's gem. Article 3 of this V entered into force on 25.3.2009.
Section 1
General provisions
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§ 1 Target company
For the purposes of this Regulation:
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the credit institution,
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the financial services institution,
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the insurance undertaking,
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the pension fund or
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the insurance holding company within the meaning of Section 1b of the Insurance Supervision Act,
in which an important holding is acquired, an existing significant participation is to be altered or a significant holding is to be given up.
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§ 2 Ad copies, route of submission and translations
(1) If the target company is a credit institution or a financial services institution, the advertisements in accordance with § 2c (1), 1b Sentence 8 and paragraph 3 of the Banking Act and the advertisements and notices in accordance with § § 7, 18 and 19 are in each case in a simple The Bundesanstalt für Finanzdienstleistungsaufsicht (Bundesanstalt für Finanzdienstleistungsaufsicht) and the head office of the Deutsche Bundesbank, which is responsible for the relevant credit institution or financial services institute, must be handed in. 2. If the target company is an insurance company, a pension fund or an insurance holding company, the advertisements are in accordance with § 104 (1), 1b sentence 7 and paragraph 3 of the Insurance Supervision Act and the notices and notices in accordance with § § 7, 18 and 19, in a simple form of the Federal Institute or the competent national supervisory authority, in each case. (3) Documents and declarations which do not apply in of the German language, the person subject to the notification has to be officially certified Translation must be submitted. The Federal Institute or the competent national supervisory authority may, on a case-by-case basis, dispense with officially certified translations.
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§ 3 Information on the receiving agent in Germany
Notifiable persons who have no domipotentiary or habitual residence, registered office or head of business in Germany must enter the name and address of a receiving agent domestily in the form according to § 6 (1) sentence 1 and § 17 (1) sentence 1. The authorization shall be proved by the addition of an officially certified copy of the relevant certificate.
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§ 4 Data on persons, persons trading companies, companies of other legal form and purpose
(1) The last half-sentence of the Banking Act and the last sentence of Article 104 (1), second sentence, of the Insurance Supervision Act, pursuant to this Regulation and in accordance with Article 2c (1), second sentence, second sentence of the Insurance Supervision Act, shall be the natural persons to be appointed by the taxable
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full name,
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date of birth,
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birthplace and
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Address of the first place of residence
(2) The last half-sentence of the Banking Act and the last sentence of § 104 (1), second sentence, of the Insurance Supervision Act, pursuant to this Regulation and in accordance with Section 2c (1) sentence 2 of the Insurance Supervision Act, by the legal persons to be appointed by the scoreboard; Commercial companies and companies of other legal form as well as purpose are with
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Company,
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legal form,
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Seat,
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Seat State,
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Address of the head office of the Executive Board and
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the characteristics of the commercial register entry, if there is a registration,
,
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§ 5 Capital and Voting Rights
(1) In the calculation of the capital or voting rights in accordance with § 8 (5), (11) (1) and (3) and § 12 (2) (3) and (4) and (4) (2), one or more subsidiaries or similar undertakings shall be directly and indirectly responsible for the calculation of the capital or voting rights. ratio of shares to be taken into account. The indirectly-held capital or voting rights are to be attributed in full to the indirect participant. For the calculation of the voting shares, § 1 (9) sentences 2 and 3 of the Banking Act and § 7a (2) sentences 4 and 5 of the Insurance Supervision Act shall apply. (2) If the amount of capital held in accordance with this Regulation shall be the amount of the capital held in the securities. Voting rights shall be expressed in percentage terms. In the case of indirect shares, the mediating subsidiaries or similar relationships with the capital or voting rights shares held by them must also be reported as a percentage. In the case of voting rights, those who hold the voting rights in question and the reason for the voting rights are also to be disclosed.
Section 2
Indication of the intention of the acquisition or increase of significant participation
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§ 6 Display forms, completeness of the display
(1) The intention
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the acquisition of a significant holding in accordance with Section 2c (1) sentence 1 of the Banking Act,
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the acquisition of a significant holding in accordance with Section 104 (1) sentence 1 of the Insurance Supervision Act,
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the increase of a significant participation pursuant to Article 2c (1) sentence 6 of the Banking Act, or
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the increase of a significant participation in accordance with § 104 (1) sentence 6 of the Insurance Supervision Act
is indicated by the form "Acquis Increase" of the Annex to this Regulation. In the case of complex participation structures, the display must also be accompanied by the form "Complex participation structures" of the annex to this Regulation. In particular, complex investment structures are available in the case of holdings which, at the same time, directly and indirectly through one or more subsidiaries or by a similar ratio, through several chains of holdings, in cooperation with other, in the case of trusteeship relationships or in other cases of the allocation of voting rights in accordance with § 1 para. 9 sentence 2 and 3 of the Banking Act or § 7a (2) sentence 4 and 5 of the Insurance Supervision Act, respectively in conjunction with § 22 The first sentence of the first sentence of paragraph 1 (2) to (6) and (2) of the Securities (2) The list of views shall be complete within the meaning of Section 2c (1) sentence 7 in conjunction with the first sentence of paragraph 1a of the Banking Act and Section 104 (1) sentence 7 in conjunction with the first sentence of paragraph 1a of the Insurance Supervision Act, if the The form referred to in the first sentence of paragraph 1 shall be completed and all the necessary annexes shall be annexed. If it is not possible to supply all the necessary equipment, the reasons for this should be indicated and the missing equipment must be immediately returned. It is only with their receipt that the viewing advertisements are considered to be complete. (3) For the purposes of Section 2c (1) sentence 7 of the Banking Act, an advertisement shall be deemed to have been received in full if it has been fully received by the Federal Institute.
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§ 7 Change of the displayed intention and the displayed information
(1) If the taxable person has the intention to acquire or increase a significant holding, prior to the acquisition or increase, he shall immediately inform him in writing of this. (2) Changes to the notifiable person in an ongoing procedure shall be notified in writing. § 2c (1) sentence 1 or sentence 6 of the Banking Act or, in accordance with Section 104 (1) sentence 1 or sentence 6 of the Insurance Supervision Act, its intention to acquire or increase a significant stake in the target company, it has this subject to of the sentence 2 shall be notified immediately in writing and the provisions of this Regulation to submit documents and declarations submitted to the extent to which individual information has to be adjusted. If the shareholding thresholds of 20 percent, 30 percent or 50 percent are to be exceeded, or if the person who is subject to the notification would gain control over the target company through the planned acquisition or increase, the In this case, the subject has to submit a new advertisement in accordance with § 2c (1) sentence 1 or sentence 6 of the Banking Act or § 104 (1) sentence 1 or sentence 6 of the Insurance Supervision Act. (3) Change after the dispatch of a viewing screen until the end of the assessment period according to § 2c Paragraph 1a of the Banking Act or Section 104 (1a) of the Insurance Supervision Act, particulars in the documents and declarations submitted shall be submitted by the notifiable person to the documents concerned without delay, in order to ensure that the documents concerned are The Federal Agency or the competent national supervisory authority may include them in their assessment. If it fails to do so, or if the updating of the information is so late that the authority no longer has five working days for its examination within the assessment period, the information contained in the documents submitted shall apply; and Statements as not correct.
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§ 8 General documents and declarations
The following documents and declarations shall be attached to the list of views:
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a suitable current proof of identity or the existence of the person subject to the notification; appropriate evidence shall be given in particular:
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a)
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in the case of natural persons, an officially certified copy of a valid identity card, which contains a photograph and with which the passport and identity obligation is fulfilled domestically,
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b)
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in the case of other notifiable persons, officially certified copies of the founding documents or equivalent documents and, where the law of the Member State of origin has a right of entry in a register or a register, or registration has been made voluntarily, an officially certified, up-to-date extract from the commercial, association, cooperative, partnership or foundation register or a comparable public register or directory,
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if the taxable person is not a natural person, an officially certified copy of the current statutes, the current social contract or an equivalent agreement,
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if the taxable person is not a natural person, a list of the personally liable partners and with the persons responsible for representing the taxable persons on the basis of the law, the articles of association, the social contract or any other person , in the light of the nature and scope of their powers and of the distribution of business and, where the person subject to the notification is an expedience, whether and in what percentage of the distribution of that person's powers Take part,
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an up-to-date, complete and meaningful presentation of the taxable person's business activities;
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if the taxable person is not a natural person, a list of the natural persons, legal persons, partnerships or companies of other legal form, as well as purpose, in their property or under their Control of the taxable persons or on the instigation of which the acquisition or increase of the significant holding is carried out; in particular, all holders of more than 25% of the capital or voting rights are included in the Notifiable persons and, where the taxable person is a special purpose, those persons, controlling 25 per cent or more of the purpose, or at least to participate in the distribution of the profit,
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a statement as to whether, in the context of the proposed acquisition, an authority outside the financial sector has carried out or carried out an investigation; the address and the name of the authority, as well as the state of the proceedings and the case of a completed Examination of the results obtained by official documents shall be indicated, and
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a statement as to whether and by which persons it is intended to exchange business managers of the target company.
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§ 9 Statements and documents relating to reliability
(1) The taxable person shall indicate, on each display of intent with the form 'Information on the reliability' of the Annex to this Regulation, whether against him, against a person in accordance with Section 8 (3) or (7) or, if the taxable person is a person, is a natural person, against a company he or she has ever managed, or, if the taxable person is not a natural person, against an undertaking over which he is in control,
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a criminal procedure has been carried out or, at an earlier stage, criminal proceedings have been conducted on the grounds of a crime or offence;
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in connection with an entrepreneurial activity, an administrative offence or comparable procedure is conducted in accordance with a different legal order or has been concluded with a conviction or other sanction,
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insolvency proceedings, a procedure for the submission of an oath of insurance or a comparable procedure, or has been carried out at an earlier date,
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a supervisory authority has initiated a supervisory measure, or such a procedure has already been completed with a sanction; and
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a registration, permission, membership or trade permit has been refused or cancelled by a public authority, or the person subject to a notification or a person in accordance with Section 8 (3) or (7) is otherwise from the holding of a business or the representation and management of its business has been excluded or a corresponding procedure is conducted.
A separate form is to be used for each natural person and for each company. All procedures and penalties specified in the forms shall be explained. Officially certified copies of judgments, decisions and other sanctions must be attached to the relevant form. (2) In the case of the information referred to in the first sentence of the first sentence of paragraph 1, the criminal proceedings cannot be taken into account which are due to the lack of sufficient suspicion of the facts. or have been terminated on account of a procedural obstacle, or have been terminated with an acquittal, or in respect of which a previous entry in the Federal Central Register has been removed or ticked. The same applies to criminal proceedings which have not been brought to an end by a German criminal investigation authority or by a German court. In the case of the information referred to in the first sentence of paragraph 1, points 2, 4 and 5, the proceedings may not be taken into account more than five years before the beginning of the year in which the notification is filed, with a conviction, sanction or any other (3) In the relevant form referred to in paragraph 1, the taxable person shall also have to declare whether his reliability or the reliability of the persons referred to in Article 8 (3) or (7) shall be regarded as acquiring a significant Participation in a target company or as a business manager of a target company by another Supervisory authority has been audited. It shall also state whether a comparable test has been carried out by another authority. Official documents relating to the outcome of this examination must be attached to the relevant form. If such documents are not available to the person subject to the notification, he or she shall justify this. In the case of the information referred to in sentences 1 and 2, tests may be disregarded, which have been completed more than one year before the beginning of the year in which the ad is submitted.
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§ 10 CV
(1) A curriculum vitae of the taxable person, provided that the person is a natural person, and a curriculum vitae of each natural person according to § 8 (3) or (7) shall be included in the list of views. (2) The person referred to in paragraph 1 The curriculum vitae must include the following information:
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the full name,
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the birth name,
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the date of birth,
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the place of birth,
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the country of birth,
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the address of the first place of residence;
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nationality,
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professional qualifications, including the qualifications obtained,
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training measures and
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professional experience, which is to be presented in chronological order and which is to begin with the profession currently practised, with the following information:
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the name and registered office of the undertaking for which the person is or has been active;
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the nature and duration of the activity, including secondary activities, with the exception of volunteer activities,
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the representation of that person,
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their internal decision-making powers and
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the business units under its control.
All times must be specified on a month-by-month basis.
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§ 11 Participation ratios and group membership as well as other influencing factors
The viewing indicators must contain the following information about the active and passive participation, the group membership and other possibilities of influence of the taxable person:
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if the taxable person belongs to a group:
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a meaningful presentation of the group structure with a graph indicating each group company, as well as the shares held in each of the shares and the voting rights in percentage terms,
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a meaningful presentation of the Group's business activities,
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a list of the supervisory entities which are subject to supervision in the financial sector within the meaning of Article 1 (19) of the Banking Act or Article 2 (3) of the Financial Conglomerate-Supervisory Act, subject to the conditions laid down by the § 1 (18) of the Banking Act or Section 2 (2) of the Financial Conglomerate-Supervisory Act, specifying the relevant industry rules and the name and address of the competent authorities. Supervisory authority; the same applies to Group companies with principal place of business outside a Member State which is subject to supervisory requirements in accordance with the rules applicable to them, and
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if the taxable person is a natural person, in addition,
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aa)
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Which group companies and with which other companies it conducts the business and
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bb)
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of which other companies it has control over, or
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if the taxable person is not a natural person, in addition a list of non-Group persons and undertakings which meet the criteria set out in point 3; existing voting rights agreements shall be explained;
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where a person is a natural person and is not a member of a group, a list of the undertakings whose business he or she carries out or which he/she has control; it shall also be indicated whether the taxable person is responsible for the transactions of the specified company has or has control over such control;
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if the taxable person is not a natural person and is not a member of a group, a list of natural and legal persons, partnerships and companies of other legal form, as well as the special purpose of the person concerned, Notifiers shall hold at least 10 per cent of the capital or voting rights, or, irrespective of whether or not capital or voting rights are held, may exercise a significant influence on the person subject to the disclosure, or who shall, if the A notifiable person is an earning person, in the distribution of his profits in the amount of at least 10 per cent, and existing voting rights agreements should be explained.
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§ 12 Employment interests
(1) A detailed description of the financial and other interests of the notifiable person must be attached to the list of persons with a view to the significant participation. (2) This presentation must describe the business relationships which he or she has or one of the undertaking which has been managed or controlled by it,
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the target company,
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the undertakings controlled by the target undertaking;
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holders of at least 5 per cent of the capital shares in the target company, including the amount of the capital stock,
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holders of at least 5 per cent of the voting shares in the target company, including the amount of the voting rights,
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Managers of the target company and persons who actually conduct the business of the target company; and
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Members of the Supervisory Body of the Target Company
(3) If the taxable person or a person is a member of a person within the meaning of paragraph 2 (3), (4) or (5) in accordance with section 8 (3) thereof, this shall be indicated. Members within the meaning of this provision shall be the persons referred to in Article 20 (5) of the Administrative Procedure Act. (4) It shall also be stated whether and which of the persons referred to in
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Persons under Section 8 (3) are also entitled, under the law, the articles of association, the social contract or an equivalent agreement, to conduct the business of a holder under paragraph 2 (3) and (4) or of the target company, or to conduct the business of the the holder actually leads or represents the holder; and
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Holders of capital or voting rights in the person who is subject to the notification are at the same time holders of at least 5 per cent of the capital or voting rights shares in the target company; the amount of the capital or voting rights shares shall be stated in each case.
(5) In the interests or activities of the person who is subject to a sound and prudent management of the interests of the target company, the person concerned shall be given a separate account and explain how to prevent the risk of such a situation being these interests have a negative impact on the target company.
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Section 13 Financial position and creditworthiness of the taxable person
(1) The taxable person shall present his/her economic conditions. (2) In the case of a balance sheet, the presentation referred to in paragraph 1 shall contain the following documents relating to the taxable person:
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annual accounts and, where they are to be drawn up or voluntarily drawn up, annual reports of the last three financial years,
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reports on the audit of the annual accounts of independent auditors of the last three financial years, if they are to be drawn up or have been voluntarily drawn up, and
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Cash flow statements and segment reporting of the last three financial years, if they are to be created or have been created voluntarily.
(3) If a person is a natural person, the presentation referred to in paragraph 1 shall contain the following information:
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a complete enumeration and description of his sources of income, together with evidence,
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its current balance sheet, indicating all liabilities, including references,
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annual accounts and, where they are to be drawn up or set up on a voluntary basis, annual reports of the last three financial years of the undertakings controlled by the scoreboard and the undertakings whose operations it is carrying out; and
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Reports on the annual audit of the accounts of independent auditors of the last three financial years of the companies controlled by the scoreboard and of the undertakings whose business it conducts, if they are to be drawn up or voluntarily were established.
(4) In addition, the person who is subject to the notification must include the presentation referred to in paragraph 1:
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Consolidated financial statements of the last three financial years, if they are to be created or have been created voluntarily, and
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Reports on the audit of the consolidated financial statements of independent auditors of the last three financial years, if they are to be drawn up or have been prepared voluntarily.
(5) Where the target undertaking is an insurance undertaking, a pension fund or an insurance holding company, the documents referred to in paragraph 2 (1) and (2) shall not be conclusive or there shall be evidence that the latter shall: The Federal Agency or the competent national supervisory authority may require that the person to be provided with such documents shall be responsible for the costs incurred by the person concerned by one of the documents relating to the person's business. Federal institution or the competent national supervisory authority To have the auditor checked. The same shall apply to the documents referred to in paragraph 4. (6) Where the creditworthiness of the taxable person has been assessed by one or more credit rating agencies, the taxable person shall indicate the latest credit rating of each credit rating agency and shall, in each case, be: to substantiate the relevant documents of the evaluating credit rating agency. The same shall apply in respect of the creditworthiness of the group to which the taxable person is a member, and in respect of undertakings not belonging to the group, through which the taxable person is subject, provided that he is a natural person, or whose control is Business he leads. In the event of a non-disclosure of the documents referred to in the first sentence, the person concerned shall justify the reasons.
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§ 14 Financing of the acquisition, disclosure of all agreements
The viewing indicators shall be a meaningful, complete presentation and appropriate, gapless evidence of the existence and economic origin of the funds and foreign funds to be used for the acquisition, as well as all of the information provided in the To be attached to agreements and contracts concluded with the proposed acquisition.
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§ 15 Business plan, presentation of strategic objectives and plans
(1) The notification shall be accompanied by a business plan which has been followed by the acquisition or increase by the person who is subject to the proposed acquisition or by the planned increase in the significant holding in control of the target undertaking. the strategic objectives and plans of the person to be displayed. In particular, the business plan shall provide meaningful information on the planned strategic development, the planned development of the assets, financial position and earnings situation, as well as the effects on the corporate structure and organisation of the To include target companies. The information on the planned strategic development has to contain general comments on the main objectives of the acquisition of participation and the measures envisaged for the achievement of the objectives. This includes in particular:
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Motives for the acquisition of shareholding,
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medium-term asset and revenue targets,
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the desired synergy effects in the target company,
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a possible realignment of business activities,
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a planned redistribution of capital in the target company and
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general requirements and provisions for the integration and integration of the target company into the group structure and group structure of the acquirer; this includes a description of the essential synergy effects with others Companies of the Group and the Group as well as a description of the principles and procedures for the management and control of the corporate relationships within the Group and the Group.
The information on the planned development of the assets, financial and earnings situation shall include the plan balance sheets and the flat-rate and flat-loss accounts for the next three financial years following the acquisition or planned increase in the significant share of the investment both for the target company and for the Group. In addition, in particular for the next three financial years following the acquisition or planned increase of the significant participation, both for the target company and for the Group are to be stated:
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the forecast capital ratios,
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the level of the likely risk positions;
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An outlook on planned intra-group transactions.
The information on the impact on the corporate and organisational structure of the target company shall include, in particular, the following:
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the impact on the composition and functions of the corporate bodies and of the committees they have set up,
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Changes in the accounting method and substantial changes in the control, control and control processes; this also includes information on significant changes in the internal audit and the compliance function and on a change in the accounting and control processes. for senior staff with key functions,
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significant changes in the deployed IT systems and IT security systems, and
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Impact on the principles for delegation and outsourcing of business activities and processes to other companies or persons.
(2) If, through the proposed acquisition or by the planned increase in the significant participation in the target company, capital or voting rights in the range of 20 per cent to 50 per cent are held by the taxable person or by the person liable to participate in the acquisition of the If a target company can exert a significant influence and the person who is subject to the notification has no control over the target company after the proposed acquisition or the planned increase in the significant holding, the display shall be accompanied by documents, which contain the following information:
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meaningful information on the planned strategic development referred to in paragraphs 1, 3 and 4, and
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meaningful information within the meaning of paragraph 3, which, however, must include in addition detailed statements on the nature of the intended future influence on the financial endowment and the capital allocation of the target company.
(3) If the planned acquisition or the planned increase in the significant participation in the target company, capital or voting shares below 20 per cent are held by the taxable person, the target company shall not be subject to any of the following: of the relevant influence and, after the proposed acquisition or increase of the significant holding, has no control over the target company, the display shall be accompanied by the following documents, which shall: Information includes:
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a meaningful presentation of the general strategic objectives to be pursued with the acquisition, indicating, inter alia, how long the shares are likely to be held and whether, in a foreseeable period after the acquisition, the shares are to be held in the to change the share level,
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the intended future influence on the target company, giving the reasons for this and
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Statements on the willingness and the economic capacity to provide the target company with further capital in the future, if this becomes necessary.
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Section 16 Differing submission and follow-up duties
(1) The taxable person does not have to resubmit documents and statements which he/she already has with an earlier ad according to § 2c (1) sentence 1, 5 or 6 of the Banking Act in the version in force as of 18 March 2009 or § 104 (1) Sentence 1, 5 or 6 of the Insurance Supervision Act, in the version valid from 18 March 2009, filed within the last year before the current statement of intent, if the information contained in the documents and statements does not apply have changed. The Federal Institute or the competent national supervisory authority may allow an extended period of time in individual cases. If the taxable person is already a holder of a significant holding, he does not need to reprove his identity or existence in accordance with Section 8 (1). However, the Bundesanstalt or the competent national supervisory authority may submit the documents and declarations referred to in sentences 1 and 3 within the scope of Section 2c (1a) sentence 3 to 9 of the Banking Act or the third sentence of Article 104 (1a) of the German Banking Act (§ 104 (1)) of the German Banking Act. (2) The following documents and declarations must not be included in the list of viewpoints, if the taxable person
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the Federal Government, the Deutsche Bundesbank, a non-legally independent special fund of the Federal Government or of a country, a country, a municipality or a community association: the documents and declarations of § § 8 to 15,
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is an approved credit institution or financial services institution, insurance undertaking, pension fund or capital management company, which has a permit pursuant to section 7 or section 97 (1) of the investment law in the up to 21 July 2013 valid for the period provided for in § 345 (2) sentence 1, paragraph 3, second sentence, in conjunction with the first sentence of paragraph 2, or the first sentence of paragraph 4 of the capital investment code, or a permit in accordance with § § 20, 21 or § § 20, 22 of the Capital investment code has: the documents and declarations according to § 8 number 1 to 5 and § § 9 bis 14,
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is an insurance holding company: the documents and declarations according to § 8 number 1, 3, 5 and 6 and § § 9 to 14,
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a financial holding company or mixed financial holding company in accordance with Section 1 (3a) sentence 1 or sentence 2 of the German Banking Act and the Federal Agency shall have the documents and declarations in accordance with section 16 (2) of the advertising regulation: the Documents and declarations in accordance with § § 9 and 10,
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an insurance holding company within the meaning of Section 104a (2) (4) of the Insurance Supervision Act or mixed financial holding company in accordance with Section 2 (10) of the Financial Conglomerate-Supervisory Act and the Federal Office or the the competent national supervisory authority the documents and declarations in accordance with § 13e (1) sentence 1 (1) of the Insurance Supervision Act or § 13e (1) sentence 2 in conjunction with the first sentence of the first subparagraph of the Insurance Supervision Act: the Documents and declarations in accordance with § § 9 and 10,
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a central government, central bank, regional government or local authority of a Member State of the European Union or of another Contracting State of the Agreement on the European Economic Area or the European The central bank is: the documents and declarations of § § 8 to 15,
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a deposit credit institution authorised in a Member State of the European Union or another State Party to the Agreement on the European Economic Area, investment-trading company, e-money institution, insurance undertaking or Pension funds shall be: the documents and declarations in accordance with § § 9 and 10,
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8.
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in another Member State of the European Union or another State Party to the Agreement on the European Economic Area, in accordance with Council Directive 85 /611/EEC of 20 December 1985 on the coordination of laws and regulations on the European Economic Area, Administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (OJ L 139, 30.4.2004, p. 3), as amended: the documents and declarations in accordance with § § 9 and 10 of the Treaty, or
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9.
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A group company of a group consisting of several taxable persons and the Bundesanstalt has been submitted a complete advertisement in accordance with § 6 of one of these taxable persons on time: the documents and declarations according to § § § § § § § § § § § § § § § § § § § 9 and 10, in so far as the other group member was obliged to submit them, as well as the documents and declarations pursuant to § 11 (1) (a) to (d) and § 13 (4) and (6) sentence 2.
(3) The Federal Agency or the competent national supervisory authority may, in accordance with Section 6 (1), waive all or part of all or part of the persons who are subject to the supervision of the group, as far as they are concerned Target companies would only be indirectly involved and not at the head of the Group. The Federal Agency or the competent national supervisory authority shall inform the person subject to the decision in writing of this decision.
Section 3
Further notification and notification requirements; transitional provision
Unofficial table of contents
§ 17 Display of the intention of reducing or abandonding significant participation
(1) The intention
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1.
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the reduction of significant participation pursuant to Section 2c (3) sentence 1 of the Banking Act,
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2.
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the reduction of significant participation pursuant to § 104 (3) sentence 1 of the Insurance Supervision Act,
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3.
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the task of a significant participation pursuant to Article 2c (3) sentence 1 of the Banking Act or
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4.
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the task of a significant holding in accordance with § 104 (3) sentence 1 of the Insurance Supervision Act
is indicated by the "Procurement Reduction" form of the installation of this Regulation. Section 6 (1), second sentence, shall apply mutas to the list of views referred to in the first sentence of the first sentence of paragraph 1 and 2. (2) The taxable person shall declare in an annex to the form referred to in the first sentence of paragraph 1 on whom he shall transfer the capital or voting rights shares. . If this information is not possible, he shall justify this in the annex. (3) For all viewing advertisements referred to in paragraph 1, § 16 (3) shall apply accordingly.
Unofficial table of contents
§ 18 Display of changes in the holder of a significant holding
The advertisement in accordance with § 2c (1) sentence 5 of the Banking Act or § 104 (1) sentence 5 of the Insurance Supervision Act shall be accompanied by the documents and declarations according to § § 9 and 10 for each newly ordered person in accordance with Section 8 (3). The display shall be free of charges if the holder of the significant participation
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1.
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the Federal Government, the Deutsche Bundesbank, a non-legally independent special fund of the Federal Government or of a country, a country, a municipality or a community association,
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2.
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is an approved credit institution or financial services institution, insurance undertaking or pension fund, an insurance holding company or a capital management company, which has a permit pursuant to section 7 or paragraph 97 (1) of the Investment law in the version valid until 21 July 2013, which continues to exist for the period provided for in the first sentence of section 345 (2), first sentence, second sentence, in conjunction with the first sentence of paragraph 2, or the first sentence of paragraph 4 of the capital investment code, or a version of the investment law in force until 21 July 2013. Permission in accordance with § § 20, 21 or § § 20, 22 of the capital investment code.
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3.
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a financial holding company or mixed financial holding company in accordance with Section 1 (3a) sentence 1 or sentence 2 of the Banking Act and the Bundesanstalt is in the form of the documents and declarations pursuant to Section 16 (2) of the ad regulation,
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4.
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an insurance holding company within the meaning of Section 104a (2) (4) of the Insurance Supervisors Act or mixed financial holding company within the meaning of Article 2 (10) of the Financial Conglomerate-Supervisory Act and the Federal Office or the competent national supervisory authority shall have the documents and declarations referred to in Article 13e (1), first sentence, point 1 of the Insurance Supervision Act or the second sentence of Article 13e (1) in conjunction with the first sentence of point 1 of the Insurance Supervision Act, or
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5.
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a central government, central bank, regional government or local authority of a Member State of the European Union or of another Contracting State of the Agreement on the European Economic Area or the European Central Bank.
Unofficial table of contents
Section 19 Supplementary communications in the event of subsequent changes to the holder of a significant holding in order to secure cooperation with the competent authorities in the European Economic Area
Where the holder of a significant holding is not a credit institution or a financial services institution, insurance undertaking or pension fund established in the country, he shall immediately, in writing, indicate the State concerned and the Member State concerned. the name of the relevant supervisory authority, if it
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1.
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in another Member State of the European Union or of another State Party to the Agreement on the European Economic Area, as a deposit credit institution, the E-money institution, the securities trading undertaking, the first insurance undertaking, or Reinsurance undertaking shall be authorised, specifying the identity number under which the taxable person is to be held with the competent supervisory authority;
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2.
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a parent undertaking of a deposit credit institution, an electronic money institution, a securities trading company, a deposit credit institution authorised in another Member State of the European Union or another State Party to the Agreement on the European Economic Area; a first insurance undertaking or a reinsurance undertaking; or
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3.
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the control of a deposit credit institution, E-money-Institut, securities trading company, approved in another Member State of the European Union or of another State Party to the Agreement on the European Economic Area, First insurance undertaking or reinsurance undertaking.
The deposit credit institution, the E-money institution, the securities trading undertaking, the first insurance undertaking or the reinsurance undertaking referred to in the first sentence of 1 (2) and (3) shall also be the identity number under which the competent supervisory authority shall: shall be indicated.
Unofficial table of contents
Section 20 Transitional provision
The provisions of this Regulation shall not apply to advertisements pursuant to Section 2c of the Banking Act in the version in force until 17 March 2009 and to ads in accordance with Section 104 of the Insurance Supervision Act in the version in force until 17 March 2009. ,
Unofficial table of contents
Annex (to § 6 (1) sentence 1 and 2, § 9 (1) sentence 1 and § 17 (1))
(Fundstelle: BGBl. I 2009, 572-594, 688; individual changes, see Footnote)
| Form-Purchase-Increase |
TIME TAKEN |
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Addressfield 1) |
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Input Date: |
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Ident-No. Target Company |
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Ident-No. Notifiable |
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Completed by the Authority |
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Here I show the/This is the
| □ Intention to acquire a significant stake |
| □ Intention to increase significant participation |
at the following
| □ Credit institution or financial services institution |
□ Reinsurance, reinsurance undertakings, pension funds
or insurance holding company within the meaning of § 1b VAG |
to:
Company
(according to register entry) |
Company Line 1 |
| Company Line 2 |
| Legal Form |
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| Seat with postal code |
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| Address of principal place of business |
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Street, house number |
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| Zip Code |
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| Place |
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The taxable person shall have control over the target company after the acquisition or increase: □ Yes. □ Nein.Page 1
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1.
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Information on the identity of the taxable person
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1.1
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Please fill in only if a person is a natural person.
| Family name |
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| Birth Name |
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| First names |
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| Date of birth |
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| Birthplace, Country of Birth |
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| Nationality |
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| Address of main residence |
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Street, house number |
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| Zip Code |
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| Place |
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| Country |
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| Information about the company, if available |
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Company
(according to register entry) |
Company Line 1 |
| Company Line 2 |
| Seat with postal code 2) |
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| Seat State |
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| Industry 3) |
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Order characteristics
Register member 4) |
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1.2
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Please fill in only if the person is not a natural person.
Company
(according to register entry) |
Company Line 1 |
| Company Line 2 |
| Legal Form |
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| Seat with postal code 2 ) |
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| Seat State |
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| Address of principal place of business |
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Street, house number |
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| Zip Code |
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| Place |
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| Country |
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| Industry 3 ) |
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Order characteristics
Register member 4 ) |
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Page 2
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2.
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Indication of a receiving agent in the country, provided that the person is not domiciled or habitually resident, registered office or management in Germany: (note: if a receiving agent is not designated in Germany, the following shall apply to the Notifiable written documents on the seventh day after the task of the post office and an electronically transmitted document on the third day after the dispatch as received, § 15 sentence 2 VwVfG.)
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2.1
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Please fill in only if the receiving agent is a natural person.
| Family name |
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| First names |
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| Date of birth |
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| Address |
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Street, house number |
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| Zip Code |
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| Place |
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2.2
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Please fill in only if the receiving agent is not a natural person.
Company
(according to register entry) |
Company Line 1 |
| Company Line 2 |
| Legal Form |
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| Seat with postal code |
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| Address |
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Street, house number |
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| Zip Code |
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| Place |
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| Country |
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Order characteristics
Register member 4 ) |
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3.
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The planned capital or voting rights shares would be wholly or partly attributed to a parent company other than the parent company:
| □ No. |
□ Yes. |
If "yes" has been crossed, this form is an asset with the No. _ _ 5) in which, taking into account the § 4 InhControl V, those to whom the shares would be attributed shall be indicated. The reason for the allocation of the shares shall also be indicated. |
Page 3
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4.
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Further information on the taxable person
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4.1
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The taxable person shall be under the supervision of the Federal Institute or the competent national supervisory authority:
| □ No, continue with 4.2 |
| □ Yes, make subsequent selection and then continue with 5.1 |
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The taxable person is: |
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□ Credit institution |
□ Financial Services Institute |
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□ E-Money Institute |
□ Capital investment company |
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□□ Investmentaktiengesellschaft |
□ Insurance Special Purpose |
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□ First insurance undertaking |
□ Reinsurance undertakings |
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□ Insurance holding company |
□ Pension funds |
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□ Financial holding company |
□ mixed financial holding company |
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4.2
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The taxable person is a company of the financial sector registered in the European Economic Area:
| □ No, continue with 4.3 |
| □ Yes, make subsequent selection and then continue with 4.3 |
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The taxable person is: |
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□ Deposit credit institution |
□ Securities trading companies |
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□ First insurance undertaking |
□ Reinsurance undertakings |
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□ UCITS management company |
□ Other regulated entities |
| The competent supervisory authority shall have the following name: |
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| The supervisory authority shall keep the taxable person under the following identity number: |
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4.3
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The taxable person shall have control over a deposit credit institution authorised in the European Economic Area, a securities trading company, a first or reinsurance undertaking or a UCITS management company:
| □ No, continue with 5.1 |
| □ Yes. |
If "yes" has been crossed, this form is an asset with the No. _ _ 5 ) to be attached,
in which the controlled companies are to be listed. |
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In addition to the information referred to in Article 4 (2) InhControl V, the type of company (deposit credit institution, securities trading company, first or reinsurance undertaking or UCITS management company) shall be the name of the competent supervisory authority. of each controlled undertaking and the identity number under which the undertaking is managed by the supervisory authority. |
Page 4
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5.
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Information on the planned significant participation
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5.1
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A significant influence could be exerted on the management of the target company, although less than 20% or no capital or voting rights are to be held.
| □ No. |
□ Yes. |
If "yes" has been crossed, this form is an asset with the No. _ _ 5 ) in which the reasons for this are to be stated. |
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5.2
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Presentation of the planned investment level at the target company 6) , 7)
8)
2
4 3 8
9) 10)
11)
10 12)
13)
shall be replaced by Authority completed Ident-No. of the Participation company company , legal form and seat (lt. Register entry) with PLZ ) and the State of the sitting; Register member ), economic sector ); Ident No (if known), in the case of natural persons, in addition to company (if available) full name ) and birth date capital -- Share , Capital of the Under- The Tsd EuroStimm- right- Share in percent ), Relationship to the target company
to Percentage EUR
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6.
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Assets to be annexed
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6.1
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All necessary equipment is available as a continuous numbered asset to this main form:
| □ Yes. |
□ No. |
If "no" has been crossed, this form is an asset with the No. _ _ 5 ) in which the installations in question are to be listed and the reasons therefor. |
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6.2
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According to § 16 para. 1 or 2 InhControl V, the taxable person can dispense with the submission of annexes and therefore does not have the following:
| □ No. |
□ Yes. |
If "yes" has been crossed, this form is an asset with the No. _ _ 5 ) in which the appendixes concerned are to be enumerated and indicate which waider rule can be used. |
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6.3
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List of assets
The short description of the investment deposit system is
| List of annexes not submitted, indicating the reasons given in point 6.1 of this form |
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□ not required
□ Yes
□ will be submitted |
| Enumeration of the non-submissions, with an indication of the waivability rule as specified in point 6.2 of this form |
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□ not required
□ Yes
□ will be submitted |
Declaration pursuant to section 2c (1) sentence 2 of the KWG or § 104 (1)
Sentence 2 VAG, of which person or company
the capital or voting rights are taken over |
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□ not required
□ Yes
□ will be submitted |
| Copy of the plenipotentiary of the receiving agent in the country according to § 3 sentence 2 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| Form "Complex participation structures" according to § 6 para. 1 sentence 2 InhControl V or according to footnote 6 of this form |
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□ not required
□ Yes
□ will be submitted |
Page 5
The short description of the investment deposit system is
| Proof of the identity or existence of the taxable person according to § 8 No. 1 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| Officially certified copy of the current Articles of Association, the current social contract or an equivalent agreement according to § 8 No. 2 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| List of personally liable partners, representatives of representatives and of the other persons according to § 8 no. 3 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| Presentation of the business activities of the taxable person according to § 8 No. 4 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| List of the economically beneficiaries of the taxable person according to § 8 No. 5 InhControl V |
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□ not required
□ Yes
□ will be submitted |
Declaration of investigations carried out by other authorities outside
the financial sector in connection with the intended acquisition according to § 8 No. 6 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| Declaration on the intended exchange of business managers of the target company in accordance with § 8 No. 7 InhControl V |
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□ not required
□ Yes
□ will be submitted |
Forms "Declarations and documents for reliability"
in accordance with § 9 InhControl V |
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□ not required
□ Yes
□ will be submitted |
Further documents and explanations of the forms after
§ 9 InhControl V in accordance with § 9 (1) sentence 4 and (3) sentence 3 and 4 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| Curriculum vitae according to § 10 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| Presentation of the Group structure according to § 11 No. 1 letter a InhControl V |
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□ not required
□ Yes
□ will be submitted |
Presentation of the Group's business activities in accordance with § 11
Point 1 (b) InhControl |
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□ not required
□ Yes
□ will be submitted |
| Preparation of the Group companies in the financial sector in accordance with § 11 No. 1 letter c InhControl |
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□ not required
□ Yes
□ will be submitted |
Information on the management of transactions according to § 11 No. 1
Letter d double letter aa InhControl V |
|
□ not required
□ Yes
□ will be submitted |
Information on other companies according to § 11 No. 1
Point (d) Double letter bb InhControl |
|
□ not required
□ Yes
□ will be submitted |
List of other shareholders etc. according to § 11 No. 1
Point (e) InhControl |
|
□ not required
□ Yes
□ will be submitted |
| List according to § 11 No. 2 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
Page 6
The short description of the investment deposit system is
| List of shareholders etc. on the taxable person according to § 11 no. 3 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| Presentation of financial and other interests in accordance with § 12 InhControl V |
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□ not required
□ Yes
□ will be submitted |
| Presentation of economic conditions with |
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the annual financial statements and annual reports of the last three financial years pursuant to § 13 para. 2 no. 1 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
reports on the annual financial statements of the last three financial years pursuant to § 13 para. 2 no. 2
InhControl V |
|
□ not required
□ Yes
□ will be submitted |
| the cash flow accounts and segment reporting of the last three financial years according to § 13 para. 2 no. 3 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
a list and description of the income sources of the taxable person according to § 13 para. 3 no. 1
InhControl V |
|
□ not required
□ Yes
□ will be submitted |
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Proof in accordance with § 13 para. 3 no. 1 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
an asset in accordance with section 13 (3) (2)
InhControl V |
|
□ not required
□ Yes
□ will be submitted |
| Proof in accordance with § 13 para. 3 no. 2 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
| the annual accounts and annual reports of the last three financial years of the undertakings controlled by the taxable person and the undertakings whose transactions are carried out by the taxable person, in accordance with Article 13 (3) (3) of the InhControl (InhControl) |
|
□ not required
□ Yes
□ will be submitted |
| reports on the annual accounts of the last three financial years of the undertakings controlled by the taxable person and the undertakings whose transactions are carried out by the taxable person, in accordance with Article 13 (3) (4) of the InhControl (InhControl) |
|
□ not required
□ Yes
□ will be submitted |
| the consolidated financial statements of the last three financial years according to § 13 para. 4 No. 1 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
| the reports on the consolidated financial statements of the last three financial years according to § 13 para. 4 no. 2 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
| the ratings on the creditworthiness of the taxable person in accordance with § 13 para. 6 sentence 1 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
the ratings on the Group's creditworthiness in accordance with § 13
Par. 6 sentence 2 InhControl |
|
□ not required
□ Yes
□ will be submitted |
the ratings on the credit standing of the individual Group,
According to § 13 para. 6 sentence 2 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
Page 7
The short description of the investment deposit system is
| Presentation of the necessary funds for the acquisition according to § 14 Semi-sentence 1 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
Agreements and contracts relating to the
Acquisition according to § 14 Semi-sentence 2 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
| Business plan or Presentation of strategic goals and plans according to § 15 InhControl V |
|
□ not required
□ Yes
□ will be submitted |
| Annex to point 3 of this form |
|
□ not required
□ Yes
□ will be submitted |
| Annex to point 4.3 of this form |
|
□ not required
□ Yes
□ will be submitted |
| Annex to point 5.1 of this form |
|
□ not required
□ Yes
□ will be submitted |
| where applicable Other installations: to be completed by the taxable person |
|
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| where applicable Other installations: to be completed by the taxable person |
|
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| where applicable Other installations: to be completed by the taxable person |
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| where applicable Other installations: to be completed by the taxable person |
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| where applicable Other installations: to be completed by the taxable person |
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7.
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Please provide a contact person for questions:
| Family name |
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| First name |
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Phone number
(with pre-selection) |
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| Email address |
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8.
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Signature (s)
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8.1
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With the following signature/The following signatures confirm that:
-
•
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the notifiable person has taken note of the reference in paragraph 2, and
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•
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the signatory, unless it is the subject of the notification, or the signatories are/are entitled to submit the ad to the person concerned, in accordance with the scope of his/her power of representation.
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8.2
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The person who is subject to the notification shall issue the ad itself:
| □ No, please continue with 8.3 |
| □ Yes. |
If "yes" has been crossed, please sign in below and submit the ad. |
| |
| Place, date and signature of the taxable person |
Page 8
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8.3
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Persons and signatures of the person or persons who, in accordance with their power of representation, are entitled to make the ad for the person subject to the notice: 14)
| Family name |
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| First names |
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| Date of birth |
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| Place, date and signature of the authorized representative |
| Family name |
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| First names |
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| Date of birth |
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| Place, date and signature of the authorized representative |
| Family name |
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| First names |
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| Date of birth |
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| Place, date and signature of the authorized representative |
| Family name |
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| First names |
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| Date of birth |
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| Place, date and signature of the authorized representative |
| Family name |
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| First names |
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| Date of birth |
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| Place, date and signature of the authorized representative |
| Family name |
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| First names |
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| Date of birth |
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| Place, date and signature of the authorized representative |
Page 9
Footnotes
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If the target company is a credit or financial services institution, it is to be addressed to the Bundesanstalt and a copy to the head office of the Deutsche Bundesbank, which is responsible for the institute.
If the target company is an insurance company, an insurance holding company within the meaning of § 1b VAG or a pension fund, it is only either a copy to the Federal Institute or a copy to the German Federal Institute for Insurance and Procurement (Bundesanstalt). The competent national supervisory authority.
The corresponding address is to be entered in the address field.
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The postal code is to be specified only by nationals.
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It is to enter the three-digit key number in accordance with the "customer classification for banking statistics".
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Only to indicate if there is an entry.
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The number of the relevant installation concerned by the scoreboard is to be entered for the display.
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Number 5.2 is not to be completed
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for complex investment structures,
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in the case of indirect equity ratios of more than four levels and
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if the subsidiary property of an intermediary holding company cannot be derived from the amount of the capital and/or voting rights.
Instead, the form "Complex participation structures" must be completed and annexed to the holder's control regulation.
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The following applies to indirect shareholdings held indirectly: the full intended holding chain with the respective intended direct participation rates between the participating undertakings shall be deemed to be the total intended holding. The chain begins with the intended direct participation of the taxable person and ends with the target company.
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Only the full name (first name and surname) of the person subject to the number of persons referred to in point 1.1 must be repeated. To the taxable person or persons referred to in point 1.2. the target company displayed on page 1 only has to be registered by the company.
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Participation in the nominal value (nominal capital, sum of the shares of the capital); in the case of partnerships and companies under civil law, the participation ratio determined by the social contract shall be subject to an adjustment. Percent data with a post after the comma. If the nominal value is not denomination, the nominal value in foreign currency (in thousand) must also be stated. The nominal value is to be converted to the course of the reporting date. If the target company is a mutual insurance association, percentages are to be entered in relation to the foundation stock.
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Intended direct share of the previous (subsidiary) company of the chain of participation in the target company mentioned here (no quota-based quotas).
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If the capital of the enterprise is not denominating in euro, the capital in foreign currency (in thousand) must also be disclosed. The capital is to be converted to the course of the reporting date.
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Only to be filled in as far as the share of the capital is different; data in percentage with one post after the comma.
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If the taxable person or the capital or voting rights held in the future is a parent company of the target company after the intended acquisition or the intended increase, "mother" shall be registered. If the future capital or voting rights of the agent is a sister company of the target company, "sister" is to be entered.
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If the person referred to in the first table is entitled only together with one or more other persons to represent the person who is subject to the notification, he/she shall have the right to be have to fill out one of the following tables in each case. Missing tables are to be added; if necessary is a separate sheet to be attached to the form on which the page number numbering of the form must be continued.
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Reliability information
2)
Indication of the taxable person □ to the person subject to the notification
3) □ on a company which has ever been led by the taxable person □ to a company through which the taxable person has control □ to a personally liable partner □
4) □ to a person in accordance with § 8 No. 3 InhControl V □ to a person in accordance with § 8 No. 7 InhControl V (Please provide the information on the identity of the company headed by the taxable person, the company on which the taxable person is subject to the notification, the personally liable partner or the person referred to in § 8 (3) or (7) InhControl (InhControl).
| In the case of a natural person, please state: |
| Family name |
|
| Birth Name |
|
| First names |
|
| Date of birth |
|
| Birthplace |
|
| Nationality (s) |
|
| Address of main residence |
| |
Street, house number |
|
| Zip Code |
|
| Place |
|
| Country |
|
| Otherwise, specify: |
Company
(according to register entry) |
Company Line 1 |
| Company Line 2 |
| Legal Form |
|
| Seat with postal code 5) |
|
| Seat State |
|
Order characteristics
Register member 6) |
|
Page 1
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1.
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Information according to § 9 para. 1 InhControl V
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1.1
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Is there a criminal case against the one on page 1, or was a criminal case brought against him at an earlier stage in the face of a crime or a crime? □ No. □ Ja.When "yes" has been crossed, the procedures and sanctions are to be explained. 7)
| 1. |
|
See also Annex No. _ _ 8) .
|
| 2. |
|
See also Annex No. _ _ 8 ).
|
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1.2
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If, in connection with an entrepreneurial activity on page 1, an administrative offence or similar proceedings are conducted in accordance with a different legal order, or if such proceedings have been brought against him or her by a Conviction or other sanction completed? □ No. □ Ja.When "yes" has been crossed, the procedures and sanctions are to be explained. 7 )
| 1. |
|
See also Annex No. _ _ 8 ).
|
| 2. |
|
See also Annex No. _ _ 8 ).
|
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1.3
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Is there any insolvency proceedings against the insolvency proceedings on page 1, a procedure for the submission of an oath of insurance or a similar procedure, or has such a procedure been conducted at an earlier stage? □ No. □ Ja.When "yes" has been crossed, the procedures and sanctions are to be explained. 7 )
| 1. |
|
See also Annex No. _ _ 8 ).
|
| 2. |
|
See also Annex No. _ _ 8 ).
|
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1.4
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Has a supervisory authority initiated a supervisory measure against the one on page 1, or has such a procedure already been concluded with a sanction? □ No. □ Ja.When "yes" has been crossed, the procedures and sanctions are to be explained. 7 )
| 1. |
|
See also Annex No. _ _ 8 ).
|
| 2. |
|
See also Annex No. _ _ 8 ).
|
Page 2
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1.5
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If a registration, permission, membership or trade permit was refused or cancelled by an authority on page 1, or was otherwise removed from the operation of a business or the representation and management of that authority, Is it excluded from business or has a corresponding procedure been conducted against it? □ No. □ Ja.When "yes" has been crossed, the procedures and sanctions are to be explained. 7 )
| 1. |
|
See also Annex No. _ _ 8 ).
|
| 2. |
|
See also Annex No. _ _ 8 ).
|
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2.
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Information according to § 9 para. 3 InhControl V 9)
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2.1
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Where the reliability of the acquired on page 1 has been acquired as the acquirer of a significant shareholding in an institution, insurance undertaking, pension fund or insurance holding company within the meaning of Section 1b VAG or as the head of business of an insurance undertaking Institute, insurance undertaking, pension fund or an insurance holding company within the meaning of § 1b VAG by another supervisory authority? □ No. □ If "yes" has been crossed, then the name of the supervisory authority, the date of the examination (month/year) and the result of the examination shall be given below for the examination procedure. 7 )
| 1. |
|
See also Annex No. _ _ 8 ).
|
| 2. |
|
See also Annex No. _ _ 8 ).
|
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2.2
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Is a similar test to point 2.1 carried out by another authority in relation to the one on page 1? □ No. □ If "yes" has been crossed, then the name of the authority, the date of the examination (month/year) and the result of the examination shall be given below for the examination procedure. 7 )
| 1. |
|
See also Annex No. _ _ 8 ).
|
| 2. |
|
See also Annex No. _ _ 8 ).
|
For natural persons
| |
|
|
| Place |
|
Date |
| |
| Personal signature of the declaring person |
| |
|
|
Page 3Footnotes
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The number of the relevant installation concerned by the scoreboard is to be entered for the display.
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A separate form shall be used for the taxable person, for each person in accordance with § 8 (3) and (7) of the InhControl, for each company ever directed by the scoreboard and for any undertaking over which the taxable person is subject to the notification.
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In this case, no information on the identity of the person subject to the notification is to be entered in the table below.
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If the personally liable partner is not a natural person, only the lines "company", "legal form" and "registered office with zip code" must be completed.
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The postal code is to be specified only by nationals.
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Only to indicate if there is an entry.
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If required, the number of rows can be extended as desired.
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The number of the installation concerned (documents pursuant to § 9 (1) sentence 4 and 3 sentence 3 InhControl V) issued by the scoreboard subject to a display of intent or display pursuant to § 6 para. 1 sentence 5 of the German InhControl Act or § 104 (1) sentence 5 of the KWG or § 104 Paragraph 1 sentence 5 VAG shall be entered.
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This number is not to be completed in the form of the reliability of a company headed by the taxable person.
This page is not to be submitted.
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