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

Service Description

If your company offers securities to the public in Germany, it must publish a sales prospectus. This prospectus must contain all the information necessary to evaluate the securities.
The prospectus is published by the Federal Financial Supervisory Authority (BaFin). Please submit it there. On the reporting and publication platform (MVP Portal) of BaFin, there is the specialized procedure "Prospectuses (VO/WpPG/VermAnlG)" for this purpose. To use it, you must apply for access.
The procedure applies to

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

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

Process flow

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.

Requirements

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

Which documents are required?

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.

What are the fees?

There are no costs involved.

What deadlines do I have to pay attention to?

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.

Processing duration

Processing Time: 3 - 4 Working days

Legal basis

Applications / forms

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

Appeal

Forms available: No

Written form required: No

Informal application possible: No

Personal appearance required: No

Online services available: Yes

What else should I know?

There are no clues or specifics.

Further Information

Author

Technically approved by

Federal Ministry of Finance (BMF)

Source: Zuständigkeitsfinder Thüringen (Linie6PLus)

Start your request directly online:

Competent Authority

Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)

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

Postal address
Post office box 1253
53002 Bonn, Stadt

Address
Marie-Curie-Straße 24-28
60439 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
E-Mail
Contact us
E-Mail
Contact us
WWW
Website of the Federal Financial Supervisory Authority (BaFin)
DE-Mail
poststelle@bafin.de-mail.de
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