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

Apply for access to the specialist procedure as follows:

• Log in to the MVP portal with your access data.
  • If you do not yet have access: First register on the MVP portal.
• Register for the specialist procedure "Prospectuses (VO/WpPG/VermAnlG)".
  • In the "Specialist procedure" section, select "Apply for specialist procedure" and select "Prospectuses (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 notifier" or "Third-party notifier" accordingly.
  • Complete the form. When you have finished, you will receive a PDF document with your details.
  • Print out 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 specialist procedure.
  • BaFin will inform you of the activation by e-mail. In the case of authorized third parties, BaFin also informs the issuer, the offeror or the applicant for admission by e-mail about the activation of the authorized third party.

They are in connection with securities:

• Issuer, i.e. a company that issues securities
• offeror
• Admission applicant or their contact person or
• Authorized third party or their contact person

Direct notifier:

• Application for the specialist procedure with the signature of the employee or contact person
• Confirmation letter from the issuer, the offeror or the applicant for admission
  • The letter confirms that one or more employees or contact persons are authorized to submit documents electronically. Only valid with the signature of persons authorized to represent the issuer, the offeror, the applicant for admission or the applicant for admission individually or jointly.
• Proof of authorization to represent the signatory or signatories of the letter of confirmation
  • e.g. extract from the commercial register of the issuer, offeror or admission applicant

Third party notifying party:

• Application for the specialized procedure with the signature of the employee or contact person
• Power of attorney from 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, the offeror or the admission applicant. Only valid with the signature of persons authorized to individually or jointly represent the issuer, the offeror or the applicant for admission.
• Proof of authorization to represent the signatory or signatories of the letter of confirmation
  • e.g. extract from the commercial register of the issuer, the offeror or the applicant for admission

Foreign direct registrants:

• the documents mentioned in the above sections on direct and third-party notifying parties, corresponding proof with apostille if necessary

There are no costs.

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

• § Section 22 of the German Securities Prospectus Act (WpPG)
• § Section 14 (4) of the Asset Investment Act (VermAnlG)

• Objection
• Objection
  Detailed information on how to lodge an objection can be found in the notification of your application.
• Fiscal court action

Forms available: No

Written form required: No

Informal application possible: No

Personal appearance necessary: No

Online services available: Yes

There are no indications or special features.

21.03.2022