responsibility finder
Schleswig-Holstein

Inform the Deutsche Bundesbank and BaFin of the appointment of a member and deputy members of the administrative or supervisory body

Source: Zuständigkeitsfinder Schleswig-Holstein (Linie6PLus)

Service Description

If you as a bank or financial services company wish to appoint a member or deputy member of the administrative or supervisory body, you must inform the Deutsche Bundesbank and BaFin.

As a bank or financial services company, do you want to appoint a member or deputy member of the administrative or supervisory body? Then you must inform the Deutsche Bundesbank and the Federal Financial Supervisory Authority (BaFin).

In your information, you must state all facts that are essential for the assessment of the person concerned with regard to

  • Reliability
  • expertise
  • Sufficient time availability for the performance of the respective tasks

If new facts have arisen that have a significant impact on the original assessment of reliability, professional competence and sufficient time availability, you must also report these.


Process flow

As a bank or financial services company, you must inform the Federal Financial Supervisory Authority (BaFin) immediately of the appointment of a member and deputy members of the administrative or supervisory body.

You can submit the notification by post, e-mail or online via the MVP portal.

1. submission by post or e-mail

  • As an institution, complete the form "Personnel changes to the administrative or supervisory body" (PVVALSI, Annex 2 AnzV).
  • The completed form "Information on reliability, time availability and other mandates" (PVZLSI, Annex 2a AnzV) and the curriculum vitae must be signed and dated by the person concerned.
  • If your credit institution belongs to a cooperative auditing association or is audited by the auditing body of a savings banks and giro association, please submit your notification via the auditing association or savings banks and giro association.
  • Otherwise, please send the completed forms, your CV and the other required documents directly to BaFin and the Deutsche Bundesbank by post or e-mail.

2. submission via the MVP portal

  • Go to the MVP portal on the BaFin website.
  • If you do not yet have a user account, register as the institution's notifier on the MVP portal and apply for authorization to use the "KWG / Forms for companies" procedure.
  • As the institution's notifier, complete the "ARM/VRM order notification" form in the MVP portal and submit it.
  • The appointed person will be informed electronically about the notification and asked to register in the MVP portal.
  • The person fills out the forms "CV ARM/VRM" and "Declaration of reliability ARM/VRM" in the MVP portal and submits them there.
  • The forms completed by the person are sent to your institute via the MVP. Once they have been checked, you confirm the notification using the "Confirmation of submissions" form.
  • If your bank belongs to a cooperative auditing association or is audited by the auditing body of a savings banks and giro association, the notification is first sent via the MVP to the auditing association or savings banks and giro association for approval. Otherwise, the notification is sent directly to BaFin and the Deutsche Bundesbank.
  • You or the appointed person can send subsequent submissions using the "Subsequent submissions / general notifications ARM / VRM" form.
  • If the supervisory authority has no objections to the appointment of the person after completion of the review, the parties involved will receive a corresponding notification in the MVP mailbox.

Please inform yourself or the appointed person of any subsequent changes using the "Subsequent deliveries / general notifications ARM / VRM" form.

Requirements

The Deutsche Bundesbank or BaFin must be notified of the appointment of members and deputy members of the administrative and supervisory body, stating the following information:

  • Facts necessary to assess the following:
    • Reliability
    • expertise
    • Sufficient time availability to perform the tasks
  • New facts that have a significant impact on the original assessment of the following points:
    • Reliability
    • expertise
    • Sufficient time availability

You must report these facts as soon as you become aware of them.

Which documents are required?

1. submission by post or e-mail:

  • Form "Personnel changes to the administrative or supervisory body" (PVVALSI, Annex 2 AnzV)
  • Information on reliability, time availability and other mandates (PVZLSI, Annex 2a AnzV)
  • Complete, signed curriculum vitae with the following information:
    • Surname, all first names and maiden name
    • Date and place of birth
    • place of residence
    • nationality
    • a detailed description of the professional background
    • the names of all companies for which this person works or has worked
    • details of the nature and duration of the respective activity, including secondary activities

The focus of the curriculum vitae must be on the stages of professional life. For the individual stations, not only the year, but also the month in which the activity began and ended must be stated.

  • Certificates of further training, if applicable
  • Extract from the central trade register
  • Certificate of good conduct for submission to an authority or European certificate of good conduct (is applied for at the Federal Office of Justice and sent directly from there to BaFin)
  • Foreign certificates of good conduct, if applicable

2. electronic submission via the portal to BaFin's reporting and publication platform (MVP portal):

  • Form "Order notification ARM/VRM"
  • Form "Statement of assurance ARM/VRM"
    • Upload: Extract from the central trade register and, if applicable, foreign certificates of good conduct
  • Form "Curriculum vitae ARM/VRM" (see instructions for completion)
    • Upload: if applicable, further training certificates
  • Form "Confirmation of submissions"
  • Certificate of good conduct for submission to an authority or European Certificate of Good Conduct (is applied for at the Federal Office of Justice and sent directly from there to BaFin)
What are the fees?

You do not have to pay for the information.

What deadlines do I have to pay attention to?

You must submit the notification immediately.

Legal basis
Appeal

No legal remedies are provided for.

Author

German Federal Financial Supervisory Authority (BaFin)


Forwarding service: Deep link to the original portal

The text was automatically translated based on the German content.

Technically approved by

Federal Ministry of Finance (BMF)

Professionally released on

11.12.2023

Teaser

If you as a bank or financial services company wish to appoint a member or deputy member of the administrative or supervisory body, you must inform the Deutsche Bundesbank and BaFin.

Process flow

As a bank or financial services company, you must inform the Federal Financial Supervisory Authority (BaFin) immediately of the appointment of a member and deputy members of the administrative or supervisory body.

You can submit the notification by post, e-mail or online via the MVP portal.

1. submission by post or e-mail

  • As an institution, complete the form "Personnel changes to the administrative or supervisory body" (PVVALSI, Annex 2 AnzV).
  • The completed form "Information on reliability, time availability and other mandates" (PVZLSI, Annex 2a AnzV) and the curriculum vitae must be signed and dated by the person concerned.
  • If your credit institution belongs to a cooperative auditing association or is audited by the auditing body of a savings banks and giro association, please submit your notification via the auditing association or savings banks and giro association.
  • Otherwise, please send the completed forms, your CV and the other required documents directly to BaFin and the Deutsche Bundesbank by post or e-mail.

2. submission via the MVP portal

  • Go to the MVP portal on the BaFin website.
  • If you do not yet have a user account, register as the institution's notifier on the MVP portal and apply for authorization to use the "KWG / Forms for companies" procedure.
  • As the institution's notifier, complete the "ARM/VRM order notification" form in the MVP portal and submit it.
  • The appointed person will be informed electronically about the notification and asked to register in the MVP portal.
  • The person fills out the forms "CV ARM/VRM" and "Declaration of reliability ARM/VRM" in the MVP portal and submits them there.
  • The forms completed by the person are sent to your institute via the MVP. Once they have been checked, you confirm the notification using the "Confirmation of submissions" form.
  • If your bank belongs to a cooperative auditing association or is audited by the auditing body of a savings banks and giro association, the notification is first sent via the MVP to the auditing association or savings banks and giro association for approval. Otherwise, the notification is sent directly to BaFin and the Deutsche Bundesbank.
  • You or the appointed person can send subsequent submissions using the "Subsequent submissions / general notifications ARM / VRM" form.
  • If the supervisory authority has no objections to the appointment of the person after completion of the review, the parties involved will receive a corresponding notification in the MVP mailbox.

Please inform yourself or the appointed person of any subsequent changes using the "Subsequent deliveries / general notifications ARM / VRM" form.

Requirements

The Deutsche Bundesbank or BaFin must be notified of the appointment of members and deputy members of the administrative and supervisory body, stating the following information:

  • Facts necessary to assess the following:
    • Reliability
    • expertise
    • Sufficient time availability to perform the tasks
  • New facts that have a significant impact on the original assessment of the following points:
    • Reliability
    • expertise
    • Sufficient time availability

You must report these facts as soon as you become aware of them.

Which documents are required?

1. submission by post or e-mail:

  • Form "Personnel changes to the administrative or supervisory body" (PVVALSI, Annex 2 AnzV)
  • Information on reliability, time availability and other mandates (PVZLSI, Annex 2a AnzV)
  • Complete, signed curriculum vitae with the following information:
    • Surname, all first names and maiden name
    • Date and place of birth
    • place of residence
    • nationality
    • a detailed description of the professional background
    • the names of all companies for which this person works or has worked
    • details of the nature and duration of the respective activity, including secondary activities

The focus of the curriculum vitae must be on the stages of professional life. For the individual stations, not only the year, but also the month in which the activity began and ended must be stated.

  • Certificates of further training, if applicable
  • Extract from the central trade register
  • Certificate of good conduct for submission to an authority or European certificate of good conduct (is applied for at the Federal Office of Justice and sent directly from there to BaFin)
  • Foreign certificates of good conduct, if applicable

2. electronic submission via the portal to BaFin's reporting and publication platform (MVP portal):

  • Form "Order notification ARM/VRM"
  • Form "Statement of assurance ARM/VRM"
    • Upload: Extract from the central trade register and, if applicable, foreign certificates of good conduct
  • Form "Curriculum vitae ARM/VRM" (see instructions for completion)
    • Upload: if applicable, further training certificates
  • Form "Confirmation of submissions"
  • Certificate of good conduct for submission to an authority or European Certificate of Good Conduct (is applied for at the Federal Office of Justice and sent directly from there to BaFin)

What are the fees?

You do not have to pay for the information.

What deadlines do I have to pay attention to?

You must submit the notification immediately.

Legal basis

Appeal

No legal remedies are provided for.

Author

German Federal Financial Supervisory Authority (BaFin)


Forwarding service: Deep link to the original portal

The text was automatically translated based on the German content.

Technically approved by

Federal Ministry of Finance (BMF)

Professionally released on

11.12.2023

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