Events listed in form
Formular Aufgabe Verringerung
ID 21583
In einer Publikation zum Thema „Inhaberkontrolle“ veröffentlicht die BaFin ein Formular „Aufgabe-Verringerung“ zur Anzeige der Absicht der Aufgabe einer bedeutenden Beteiligung oder Absicht der Verringerung einer bedeutenden Beteiligung an einem Zielunternehmen (Kreditinstitut oder Finanzdienstleistungsinstitut, Erstversicherungs-, Rückversicherungsunternehmen, Pensionsfonds oder Versicherungs-Holdinggesellschaft im Sinne des § 1b VAG). Das Formular mu ...
Mitteilung nach § 79 Satz 1 WpHG
ID 21582
Die BaFin veröffentlicht eine aktualisierte Version des Formulars zur Mitteilung nach § 79 Satz 1 WpHG in Bezug auf die Aufnahme bzw. Aufgabe der Tätigkeit als systematischer Internalisierer gemäß § 2 Abs. 8 Satz 1 Nr. 2b) WpHG einschließlich Erklärung über die freiwillige Unterwerfung unter die für die systematische Internalisierung geltenden Regelungen (§ 2 Abs. 8 Satz 5, 2. Alternative WpHG) bzw. ihrer Rücknahme. ...
Financial analysis template for mortgage intermediaries – incorporated ...
ID 21538
The Financial Conduct Authority (FCA) has published two new forms with respect to firms seeking authorization as financial mortgage intermediaries: 1. form for incorporated companies 2. form for sole traders and partnerships Both forms must be filed along with the application form and require the filing of a forecast income statement and a forecast balance sheet. Corresponding filing instructions are included in the third ...
Communication on the publication of two notification templates to be completed when ...
ID 21519
On 19 January 2023, the Commission de Surveillance du Secteur Financier (CSSF) issued a press release, informing about „the publication of two notification templates to be completed when applying for the authorisation of an investment fund manager (IFM) to the CSSF, respectively when extending the activities of an existing IFM or modifying its shareholding structure“. The CSSF published two notification templates (as DOCX-files – ...
Form 26 – Notice of Commencement of Business / Additional Regulated ...
ID 21513
The Monetary Authority of Singapore (MAS) has issued a revised form that must be lodged by (legal) persons that are exempt from holding a capital markets services license relating to the commencement of business or the performance of other activities which the person has not yet performed. The affected form is: [Form 26 – „Notice of Commencement of Business / Additional Regulated Activities by ...
FinDatEx publishes EET V1.1.1
ID 21507
Following its notification and the release of „supplementary data fields“ for the EET V1.1. (please see eventid=18501), the Financial Data Exchange (FinDatEx) platform has published a revised version of the European ESG Template (EET V1.1.1) of the dedicated working group to integrate these data fields. This „originally unscheduled update“ includes supplementary data fields at the end of the template (lines 682 ss). Furthermore, a ...
Form 24A – Notice of Cessation of Business as a Registered Fund Management ...
ID 21364
The Monetary Authority of Singapore, MAS, has published a revised version of its Form 24A to be filed by registered fund management companies to notify MAS of the cessation of business. The form must be submitted electronically via MASNET, the online platform of MAS, and must be accompanied by the corresponding auditor certification and company declaration. It is essential, so the regulator, to also ...
Form 23A – Notice of Change of Particulars for a Registered Fund Management ...
ID 21363
The Monetary Authority of Singapore, MAS, has issued a revised form for registered Fund Management Companies or Venture Capital Fund Managers which must be used to inform MAS of changes of their particulars (i.e. changes in contact details; changes in information on the company such as appointments). The form must be submitted within 14 days of the incurred changes and must be lodged via ...