check list - Managers

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II. Check list for documents to be submitted when notifying BaFin of the intention to appoint managers
Documents
a)
Formal requirements
Curriculum Vitae
Dated and personally
For undertakings subject to signed
the Insurance Supervision
Act
(Versicherungsaufsichtsg
esetz – VAG) and the
Investment Act
(Investmentgesetz –
InvG):
- Overview of professional
career including the
specific months in which
positions held (e.g. "Feb
2011 - Apr 2013")
- Disclosure of business
dealings with the
undertaking
- Disclosure of other
positions held or
statement of "nil"
- Overview of intended
allocation of competences
For undertakings subject to
the Banking Act
(Kreditwesengesetz –
KWG) and the Payment
Services Supervision Act
(Zahlungsdiensteaufsichts
gesetz – ZAG):
See section 5 (1) no. 1 of
the Regulation on
Notifications and the
Production of Documents
under the Banking Act
(Verordnung über die
Anzeigen und die Vorlage
von Unterlagen nach dem
Kreditwesengesetz –
AnzV) and section 10 (2)
and 3 of the Regulation
on Notifications and the
Production of Documents
under the Payment
Services Supervision Act
(Verordnung über die
Anzeigen und die Vorlage
von Unterlagen nach dem
Zahlungsdiensteaufsichtsgesetz – ZAGAnzV).
Procedure
For undertakings subject to
the VAG and the InvG:
Curriculum Vitae must be
submitted to BaFin.
For undertakings subject to
the KWG and the ZAG:
The procedure is governed
by section 1 AnzV or
section 1 ZAGAnzV
(submission to BaFin and
the central office of the
Bundesbank).
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b)
Form "Disclosures
relating to reliability"
Dated and personally
signed
For undertakings subject to
the VAG and the InvG:
The completed form must
be submitted to BaFin.
For undertakings subject to
the KWG and the ZAG:
The procedure is governed
by section 1 AnzV or
section 1 ZAGAnzV
(submission to BaFin and
the central office of the
Bundesbank).
c)
"Criminal record check
for submission to an
authority"
● Document type "O"
or
"European criminal
record check for
submission to an
authority"
● Document type "O"
and/
or
"Equivalent documents"
from another country
Reference (see above)
After consultation and
agreement with the
relevant section of BaFin,
an application for
equivalent documents shall
be made to the foreign
authorities and then
submitted to BaFin.
d)
Excerpt from the Federal Reference (see above)
Business Record Register
(GewerbeInstructions for
zentralregister)
completing form GZR 3:
- field 01: document
type "1"
- field 20: both boxes
should remain blank
Applications for an excerpt
from the Federal Business
Register are made to the
local registration office or
trade regulatory authority
(Gewerbeaufsichtsbehörde)
(or to the Federal Office of
Justice), and the excerpt is
sent to the applicant. It
must then be submitted to
BaFin.
Applications for a criminal
record check for authorities
● Reference
are directed to the local
- for undertakings
registration office
subject to the VAG:
(Meldebehörde) (or to the
the undertaking's four- Federal Office of Justice
digit BaFin registration (Bundesamt für Justiz)).
Criminal record checks are
number
sent directly to BaFin from
- for undertakings
subject to the KWG
there.
and the ZAG:
the undertaking's name
and six-digit Bakis
number
- for undertakings
subject to the InvG:
the name of the
undertaking
see above
● Reference (see
above)