• founding documents, memorandum or articles of association (certified copies)
• appropriate proof of funds required for business operations
• information on the managers of the company
• information required for the assessment of the reliability of the applicants and the managers in the form of a declaration of immunity from prosecution (forms and online services)
• information required for the assessment of the professional competence of the owners and business managers:
  • detailed, complete, signed curriculum vitae of each owner or business manager,
  • supplemented at least by the certificates of the employment relationships terminated in the last 3 years
• a viable business plan indicating the nature of the planned operations
  • with a justified indication of their future development
  • including budgeted balance sheets, budgeted profit and loss accounts for the first three financial years
• a more detailed description of the intended business development
• if drafted: Samples of the intended
  • customer contracts,
  • management contracts,
  • account or deposit powers of attorney and
  • general terms and conditions
• Presentation of the organizational structure of the institute including organization chart
  • with information on planned branches and
  • whether the cross-border provision of financial services is intended, and
  • a statement as to whether it is intended to outsource any activities to another entity
• A description of the planned internal control procedures, including an explanation of how compliance with the obligations under the German Banking Act and the German Securities Trading Act is to be ensured
• If significant shareholdings are held in the institution:
  • Indication of the holders of significant participations
  • Indication of the amount of these participations
  • Information necessary for assessing the reliability of the owners or legal representatives or personally liable partners (see above: declaration of exemption from criminal liability, BaFin model declaration)
• If applicants or owners of significant shareholdings belong to corporate groups: Presentation of the group structure, consolidated financial statements
• Statement of facts indicating a close connection between the financial services institution and other natural persons or other companies
• Notifications and documents pursuant to Section 2c of the German Banking Act (Kreditwesengesetz) in conjunction with the Ownership Control Ordinance (Inhaberkontrollverordnung)
• in the case of securities trading companies in the legal form of a sole proprietorship: a statement by the proprietor as to the extent to which he has taken appropriate precautions to protect customers in the event of the cessation of his business activities, for example in the event of death or incapacity. The presentation includes the consent of the representative named therein and the representative's statement assessing his reliability (see above: declaration of non-criminal liability, BaFin model declaration), provided the representative is a natural person.

In the case of financial services institutions applying for a license pursuant to Section 1 (1a) sentence 2 nos. 1- 4 or 11, (1) sentence 2 no. 4 or no. 10 of the German Banking Act:

• Information according to Delegated Regulation (EU) 2017/1943.
• Form of the Implementing Regulation (EU) 2017/1945