Request access to submit prospectuses on securities to the German Federal Financial Supervisory Authority (BaFin)

Apply for access to the specialized procedure as follows:

• Log in to the MVP portal with your access data.
  • If you do not have access yet: First register on the MVP portal.
• Register for the specialized procedure "Prospectuses (VO/WpPG/VermAnlG)".
  • Under the heading "Fachverfahren", select "Fachverfahren beantragen" and then "Prospekte (VO/WpPG/VermAnlG)".
  • Select the so-called notification case. The decisive factor here is the function in which you wish to submit the documents electronically. Enter "direct declarant" or "third-party declarant" accordingly.
  • Fill out the form. When you are finished, you will receive a PDF document with your information.
  • Print the PDF document and sign it.
  • Send it together with the required documents to the Federal Financial Supervisory Authority, Department WA 5 .
• BaFin will review your application. If the review is successful, BaFin will activate you for the specialized procedure.
  • BaFin will inform you about the activation by e-mail. In the case of authorized third parties, BaFin will also inform the issuer, the offeror or the applicant for admission by e-mail about the activation of the authorized third party.

They are related to securities:

• Issuer, which is a company that issues securities
• Provider
• Applicant for admission or its contact person or
• Entitled third party or its contact person

Directly registering persons:

• Application for the specialized procedure with the signature of the employee or contact person.
• Letter of confirmation from the issuer, the offeror or the applicant for admission
  • The letter confirms that individual or several employees or contact persons are authorized to submit documents electronically. Only valid with the signature of persons authorized to represent the issuer, the offeror or the applicant for admission individually or jointly.
• Proof of the power of representation of the signatory or signatories of the letter of confirmation
  • For example, excerpt from the commercial register of the issuer, offeror, applicant for admission.

Third party applicant:

• Application for the specialized procedure with the signature of the employee or contact person.
• Power of attorney of the issuer, the offeror or the applicant for admission
  • The power of attorney confirms that one or more employees or contact persons are authorized to submit documents electronically on behalf of the issuer, provider, applicant for admission. Only valid with the signature of persons authorized to represent the issuer, the offeror, the applicant for admission individually or jointly.
• Proof of the power of representation of the person or persons signing the letter of confirmation
  • For example, extract from the commercial register of the issuer, the offeror, the applicant for admission.

Foreign direct applicants:

• The documents mentioned in the above sections on direct and third party registrants, corresponding proof with apostille if applicable.

There are no costs involved.

You must publish the prospectus at least 1 business day before the public offering. Accordingly, you need access to the specialized procedure "Prospectuses (VO/WpPG/VermAnlG)" beforehand.

• § 22 Wertpapierprospektgesetz (WpPG)
• § 14 Absatz 4 Vermögensanlagengesetz (VermAnlG)

• Objection
• Objection
  Detailed information on how to file an appeal can be found in the notice of your application.
  
• Tax court action

Forms available: No

Written form required: No

Informal application possible: No

Personal appearance required: No

Online services available: Yes

There are no clues or specifics.