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

Service Description

If your company offers securities to the public in Germany, it must publish a prospectus. This must contain all the information necessary to assess the securities.
The prospectus is published by the Federal Financial Supervisory Authority (BaFin). Please submit it there. The "Prospectuses (VO/WpPG/VermAnlG)" specialist procedure is available for this purpose on BaFin's notification and publication platform (MVP Portal). To be able to use it, you must apply for access.
The procedure applies to

  • Direct registrants:
    • Issuers, i.e. companies that issue securities
    • Offerors
    • Applicants for admission or their contact person
  • Third-party notifying parties: Authorized third parties, for example a law firm or their contact person

If you no longer work for your company or work in a different capacity, you must deregister from the specialist procedure. Your company should inform BaFin of this in writing.

Process flow

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.

Requirements

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

Which documents are required?

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 or the applicant for admission, either 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

What are the fees?

There are no costs.

What deadlines do I have to pay attention to?

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.

Processing duration

Processing Time: 3 - 4 Working days

Legal basis

Applications / forms

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

Appeal

Forms available: No

Written form required: No

Informal application possible: No

Personal appearance necessary: No

Online services available: Yes

What else should I know?

There are no indications or special features.

Further Information

Author

Forwarding service: Deep link to the original portal

Federal Financial Supervisory Authority (BaFin)

The text was automatically translated based on the German content.

Technically approved by

Federal Ministry of Finance (BMF)

Professionally released on

21.03.2022

Source: Zuständigkeitsfinder Thüringen (Linie6PLus)

Start your request directly online:

Competent Authority

Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)

Address
Graurheindorfer Straße 108
53117 Bonn, Stadt
Remark: Address Bonn
Link to the directions:
Anfahrt

Postal address
Post office box 1253
53002 Bonn, Stadt

Address
Marie-Curie-Straße 24-28
60439 Frankfurt am Main
Remark: Address Frankfurt am Main
Link to the directions:
Anfahrt

Postal address
Post office box 500154
60306 Frankfurt am Main
Telephone
+49 228 4108-0
Fax
+49 228 4108-1550
E-Mail
Contact us
Remark: General
E-Mail
Contact us
Remark: with qualified electronic signature
E-Mail
Contact us
Remark: especially for appointment notices regarding supervisory and administrative board members
WWW
Website of the Federal Financial Supervisory Authority (BaFin)
DE-Mail
poststelle@bafin.de-mail.de
Transport connection
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Further Authorities

Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin), Abteilung WA 5
Address
Marie-Curie-Straße 24 - 28
60439 Frankfurt am Main
Telephone
+49 228 4108-0
Remark: There are no office hours.
Fax
+49 228 4108-63110
Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin), MVP-Antragsverfahren
Address
Marie-Curie-Str. 24 - 28
60439 Frankfurt am Main
E-Mail
Contact us
Remark: for technical questions about the MVP Portal
WWW
Federal Financial Supervisory Authority (BaFin)
WWW
Contact form