If you wish to acquire or increase a significant shareholding in a bank or financial services company:

• Proof of the identity or existence of the notifying parties
  • for natural persons: officially certified copy of a valid identity document with photograph
  • for legal entities:
    • officially certified copies of the founding documents or equivalent probative documents
    • officially certified, current excerpt from the commercial, association, cooperative, partnership or foundation register or a comparable public register or directory
• Hand-signed curriculum vitae including references
  • from you as a natural person subject to the notification requirement and/or
  • of all personally liable partners and shareholders and persons authorized to represent the business of the person subject to the notification obligation and
  • if applicable, of the persons who are to replace members of the management of the target company
• officially certified copy of the current articles of association, the current partnership agreement or an equivalent agreement
• List of the personally liable partners and shareholders and the persons authorized to represent the business of the person subject to the notification obligation
• List of the beneficial owners whose ownership or control you have or for whom you are acquiring or increasing the significant shareholding
• Current, complete and informative description of the business activities, e.g. annual report
• If applicable, evidence of shareholdings and group affiliations:
  • Presentation of the group structure
  • Presentation of the group's business activities
  • List of group companies in the financial sector
  • Details of other (group) companies for which you are a managing director or over which you have control
  • List of other shareholders and owners
  • List of shareholders in your company
• Description of your financial and other interests in the significant shareholding
• Description of your economic circumstances:
  • Annual financial statements and management reports for the last 3 financial years
  • Reports on the audits of the annual financial statements for the last 3 financial years
  • Cash flow statement and segment reporting for the last 3 financial years
  • if you are a natural person:
    • a list and description of your sources of income, including supporting documents
    • a statement of assets including supporting documents
    • Ratings about your creditworthiness
    • if you yourself control other companies or manage their business:
      • Annual financial statements and management reports for the last 3 financial years
      • Reports on the annual audits of the last 3 financial years
  • if you belong to a group of companies:
    • Consolidated financial statements for the last 3 financial years
    • Auditors' reports on the consolidated financial statements for the last 3 financial years
    • Ratings on the creditworthiness of the group and the individual group companies
• Presentation and evidence of the equity and debt required for the acquisition as well as all agreements and contracts concluded in this context
• If you obtain control over the target company through the planned acquisition or the planned increase in the significant shareholding:
  • Business plan describing your strategic objectives and plans, including information on the planned strategic development, the planned development of the net assets, financial position and results of operations and the effects on the corporate structure and organization of the target company
• Declaration of investigations by other authorities outside the financial sector in connection with the intended acquisition
• Statement as to whether and by which persons it is intended to replace members of the management of the target company
• Declaration of the person or company from which the capital or voting rights will be acquired
• Six-digit BAK number
• If you are not resident in Germany: Copy of the power of attorney of the authorized recipient in Germany
• For complex shareholding structures:
  • Fully completed "Complex shareholding structures" form
  • Diagram of complex shareholding structures
• Fully completed form "Information on reliability"
  • If applicable, officially certified copies of judgments, decisions and other sanctions
  • If applicable, official documents proving that another supervisory authority has already checked the reliability
• Maximum 3-month-old "certificate of good conduct", "European certificate of good conduct" or "corresponding documents" from abroad
  • You can apply for the (European) certificate of good conduct at the local registration office (or at the Federal Office of Justice). The Federal Office of Justice will send it directly to the Federal Office.
  • You apply for the "corresponding documents" from the foreign authorities after consultation with the relevant BaFin department and then submit them to BaFin.
• Extract from the central trade register no more than 3 months old
• List of attachments not submitted, stating the reasons
• List of attachments that have not been submitted and can be waived, stating the waiver rule

If you wish to reduce or terminate a significant shareholding in a bank or financial services company:

• For complex shareholding structures:
  • Fully completed "Complex shareholding structures" form
  • Chart on complex shareholding structures
• Declaration of who you are transferring your capital or voting rights to