Insurance Supervision
Contents
1. comply with the following additional naming conventions incl prefixes 9999 is a placeholder for the unique registration number of the undertaking subject to the notification requirement a Ad hoc Abfragen Prefix ADHOC ADHOC_ 9999 _ file name b Beschwerdeberichte Prefix BB BB_ 9999 _ file name c Rechnungszins KV Prefix AUZ AUZ_ 9999 _ file name d KA Sammelverfugung Prefix BW1 to BW5 BW 1 2 3 4 5 9999 _ file name the digits before and after the first _ should be identical 10 Bundesanstalt fiir Z Finanzdienstleistungsaufsicht Z e BerVersV BerPensV Rundschreiben per DUVA VU_ 9999 file name f Besondere Verwendung Prefix BESV BESV_ 9999 _ file name g Krawatte Prefix KR applies to the zip file the file contained therein is to be named in accordance with any other content related specifications KR_ 9999 _ YYYY _ YYYYMMDDhhmmss zip h Zinsgarantieabfrage PK Prefix PKZG PKZG_ 9999 _ file name i Risikoberichte Prefix RI RI_ 9999 _ file name j Sonderabfragen KV Prefix SAKVU SAKVU_ 9999 _ file name k Stresstest Prefix ST ST_ 9999 _ file name I Vollerhebung LV 2014 Prefix VELVU VELVU_ 9999 _ file name m Vollerhebung KV 2014 Prefix VEKVU VEKVU_ 9999 _ file name n Prognoserechnung Prefix SR SR_ SZ_ 9999 _ fi2. Vollerhebung LV 2014 Prefix VELVU Zinsgarantieabfrage PK Prefix PKZG Zinsgarantien LV Prefix ZG Screenshot 5 Selecting the undertaking subject to the notification requirement guarantor and the submission On the next page a form please click on the paperclip symbol red arrow Bundesanstalt fiir Finanzdienstleistungsaufsicht SS ss Language 75 Deutsch B0 Gala English General information Beschwerdeberichte Prefix BB Home E aii Netshow HaN AY nt ita mel Details of the entity subject to the notification requirement Documentation Help neato BaFin ID 50041101 ee Name Bundesanstalt fiir Finanzdienstleistungsaufsicht Specialised procedure Please upload the reporting file Submit report View journal Notice ee In order to upload a file please click the paper clip symbol in the action pane An upload screen will open to Application for a specialised support the uploading process procedure The filename must comply with the following rules allowed characters 0 9 A Z a z _ and maximum length of oe ee ee ee 100 Please use the correct prefix in the filename as well as the correct file type for the procedure Cancel specialised procedure View application list NSS ae aan at For questions about the process you can contact the following e mail address Fachlicher Support VA bafin de User account File upload 12 2014 v7 14B02BB7049 9278286 Request new password Screenshot 6 Upload area part
3. for Electronic submission MVP Portal specialised procedure for selected sub Insurance Supervision procedure 1 Registration on the MVP Portal To obtain access to the MVP Portal you first have to register as a notifying party You can do this on the BaFin website http www bafin de under the section Quick links and the hyperlink MVP Portal Select the MVP Portal and follow the link To MVP Portal Under User account click on Registration When the page Registration appears you first select the capacity in which you wish to register Choose as a contact person of a company i e you are acting as a contact person of an insurance undertaking or an authorised third party You may not choose as a natural person for the specialised procedure Insurance Supervision Bundesanstalt fiir Finanzdienstleistungsaufsicht Registration Language Deutsch You may apply for a user account in the capacity as a natural person private individual or as a contact person employee If you are a natural person please enter your private e mail address If you are a contact person of a company please enter your English company e mail address Ea lne Please note that you can register only once with your e mail address as your e mail address is attributed to your user account Home Capacity in which you would like to register Documentation Help m as a natural person Login as a contact person of a
4. notifier itself or a contact person of a third party notifier Screenshot 3 Distinction between direct notifier and third party notifier Please fill in the mandatory fields Third party notifiers should in particular make sure to insert the details on the party subject to the notification requirement undertaking Once the process is completed you will receive an application form PDF file In the next step please print out the application form sign it as required and send it to the following address Bundesanstalt fur Finanzdienstleistungsaufsicht Referat VA 53 Graurheindorfer Str 108 Bonn Deutschland Germany Important note If you apply for an authorisation to submit notifications on behalf of another undertaking as an authorised third party i e the undertaking of the notifying party and the insurance undertaking subject to the notification requirement are two different entities please enclose an authorisation of the undertaking subject to the notification requirement guarantor to your written application This authorisation must contain information on the undertaking subject to the notification requirement including contact details the signature of its managing directors the authorised third party i e the undertaking of the notifying party including contact details and the specialised procedure here Insurance Supervision Proposed wording of the authorisation version_1 The undertaking subject to the noti
5. 9 2013 TEST Article 4 2 EMIR international TEST Article 4 2 EMIR national TEST Employee and complaints register On the next page you are required to select the capacity in which you wish to make Submissions Direct notifier notifying party is person entity subject to the notification requirement or contact person of such person entity or Third party notifier for a company notifying party is itself a third party notifier or a contact person of a third party notifier 2 Direct notifiers please insert as handwritten entry under Reference on the print out of your application form the four digit registration number of the undertaking on whose behalf you submit notifications In the future this number will be inserted electronically by the system into the application form for direct notifiers A BaFin BaFin Bundesanstalt f r Finanzdienstleistungsaufsicht Application for a specialised procedure Specialised procedure Specialised procedure Insurance Supervision mandatory field Notifying party O Notifier for a registered entity subject to the notification requirement Direct notifier reporting party is a entity subject to the notification requirement or a contact person of such entity Third party notifier for a natural person reporting party is a third party notifier itself or a contact person of a third party notifier Third party notifier for a company reporting party is a third party
6. Bundesanstalt fiir Finanzdienstleistungsaufsicht Information sheet on the specialised procedure Insurance Supervision As at 17 December 2014 General information Insurance undertakings and authorised service providers who wish to submit notifications to BaFin electronically for the different insurance supervision sub procedures in the following also called submissions for the specialised procedure Insurance Supervision may do so using the BaFin reporting and publishing platform Melde und Ver ffentlichungsplattform MVP Portal To use the electronic specialised procedure you have to 1 complete registration to gain access to the MVP Portal and 2 apply for the specialised procedure Insurance Supervision in order to 3 make submissions for a selected sub procedure In the following this process is explained in detail For practical instructions regarding registration and applications for the MVP Portal please refer to the MVP Portal User Manual link lt http www bafin de SharedDocs Downloads DE dl mvp portal handbuch pdf blob publicationFile amp v 4 gt Please direct any questions regarding the contents or subject matter of the specialised procedure Insurance Supervision or regarding one of the following sub procedures to E mail Fachlicher Support VA BaFin de Should you have any technical queries or problems please contact our technical support desk E mail mvp support bafin de The specialised
7. I Click on the paperclip symbol In the ensuing dialogue box you can select the file to be submitted from your filing system and upload it to the MVP Portal by clicking the respective button For technical reasons the upload area had to be divided into two pages Lucem i Logged in as user BaFinRealm01 uid vomametest nachnametest0652 cn Interaction Platform gg Manage Attachments Here you can attach files to your form There are the following restrictions No more than 1 attachments are allowed An attached file must not be over 209716 kB in size Only attachments with the extension gz zip pdf doc docx xls xlsx txt csv are allowed These files are attached to the form no Filename KB Actions No files attached yet Attach file Durchsuchen Screenshot 7 Upload area part II Select the file to be submitted from the filing system _ BaFin Bundesanstalt fiir Z Finanzdienstleistungsaufsicht os Important l Depending on the desired sub procedure only files of a certain file type may be uploaded manually to the MVP Portal or submitted via the Web Service as a Base64 encoded string in the payload of the SOAP request The following file types are permitted a Submission Krawatte Prefix KR zip b Submission Vollerhebung LV 2014 Prefix VELVU doc docx xis xlsx c Submission Vollerhebung KV 2014 Prefix VEKVU doc docx xIs xl
8. al followed by and the ID of the insurance undertaking subject to the notification requirement guarantor To obtain the ID of the insurance undertaking subject to the notification requirement go to the MVP Portal click Submit notification and select the required submission and undertaking The ID is then displayed on the right hand side of the screen e g hg_02_ 12345678 BaFin Bundesanstalt f r Finanzdienstleistungsaufsicht Submit a report Specialised procedure To submit large number reports or make automated reports via a web Specialised procedure Insurance Supervision service you have to know the mandatory field identification number for your entity subject to the notification requirement The identification number of the 3 EB E z 5 t entity subject to the notification Registered entities subject to the notification requirement 51 J 4 requirement is fhg 03 8458298184 Entity subject to the Bundesanstalt f r Finanzdienstleistungsaufsicht Frankfurt notification requirement For more information on this topic mandatory field please refer to the documentation Report Report Vv z mandatory field Screenshot 4 How to find the guarantor ID in the info box on the MVP Portal In the SOAP header the information is then entered as in the following example lt wsse Usernrame gt max mustermann0024 hg_02_12345678 lt wsse Username gt b By file upload Instead of
9. company User account Personal details Registration Prefix va Request username Title v Request new password First name Surname E mail Company details Company name mandatory field Send Screenshot 1 Registration as a contact person of a company After that you will be requested to provide your personal details To submit your registration data to BaFin click Send You then receive an e mail containing a link that opens a page where you are required to enter your remaining personal and company data If you are a notifying party please insert your professional details here The field for stating your title is optional Please make sure to enter both the required personal details and the required information on your undertaking If you wish to submit notifications on behalf of another undertaking subject to the notification requirement i e as a third party notifier please also insert the name of the undertaking you are working for not the undertaking on whose behalf you wish to submit notifications As the last step a username and password for logging in will be generated and shown to you on the MVP Portal Please remember the log in data or print this page as access to the MVP Portal is not possible without such data BaFin recommends that you use an electronic password safe for secure password management For practical instructions regarding registration with the MVP Portal please refer
10. fication requirement X domiciled in Y insert name and domicile of the undertaking subject to the notification requirement here herewith authorises undertaking Z insert name of the notifying undertaking here to submit 5 Bundesanstalt fiir Finanzdienstleistungsaufsicht notifications electronically on behalf of undertaking X for the specialised procedure Insurance Supervision using the MVP Portal of the Federal Financial Supervisory Authority Proposed wording of the authorisation version_2 The undertaking subject to the notification requirement X domiciled in Y insert name and domicile of the undertaking subject to the notification requirement here herewith authorises the employee s Mr Peter Muller Ms Sandra Meyer of undertaking Z insert the names of the notifying persons of the notifying undertaking here to submit notifications electronically on behalf of undertaking X for the specialised procedure Insurance Supervision using the MVP Portal of the Federal Financial Supervisory Authority Once the documents written application and if necessary authorisation required to apply for the specialised procedure Insurance Supervision have been received BaFin compares the data provided electronically with the data already stored at BaFin in particular the data pertaining to the undertaking subject to the notification requirement guarantor In the event of successful verification BaFin activates the applicant s account for the s
11. le name o Zinsgarantien LV Prefix ZG ZG _ 9999 _ file name p Technische Berechnungsgrundlagen TB_ 9999 _ file name Example for a correct file name in the submission Kapitalanlage Sammelverf gung KA Sammelverf gung File name of the zip archive BW1_1234 3Q2013 zip containing the files BW1i1_1234_Fonds_3Q2013 pdf BW1_1234_Uebersicht pdf and BW1_ 1234 Streuung_3Q2013 xlsx In the above example the naming conventions have been observed as the file name contains the correct prefix BW1_ the number of the prefix and the first digit of the registration number are identical BW1_1234 and it does not contain any umlauts or blank characters Furthermore the names of the files contained in the zip archive also comply with the naming conventions During file transfer manual upload and Web Service the MVP Portal verifies if the above mentioned naming conventions have been observed If this is not the case the file and or the request will be rejected Important The message you get following upload only confirms correct transmission of the container file zip gz The contents of the container file are checked afterwards If the naming convention has not been observed the file will be rejected in that second step Therefore BaFin strongly recommends that you check under View journal as to your notification has been accepted by the system see below success message gt status Notification accepted This pr
12. ocess takes a few minutes Your notification has been transmitted to BaFin successfully only if it has the status Notification accepted Should the transmission have failed status Notification contains errors the notification 11 BaFin Bundesanstalt fiir Finanzdienstleistungsaufsicht is deemed not yet submitted and must be uploaded again with the correct file name View journal Language Deutsch Filter ee Date of report from 01 11 2014 te i English eee Date of report to 31 12 2014 DD MM YYYY gt iali Vv ann Specialised procedure PY Person entity subject to the notification V Home requirement OAEIAE AAE AA A BREI Status PY NER RER pone Cones Filename Wildcards allowed L out H ai nn non 09 Client reference Wildcards allowed eP Search Specialised procedure Submit report Specialised a Person entity subject to the _ Client Reporte Filena eee RENTEN MR procedure cass joule tion requirement reference x me View journal Feedback text Feedback file s ER Bundesanstalt f r 11 12 2014 Insurance pea cen gaia Finanzdienstleistungsaufsicht Frankfurt Web form BB_1234_MeinBeschwerdebericht pdf EIN ye 17828 10 52 49 Supervision Prefix BB Application for a specialised am Main procedure aussah i gt Bundesanstalt f r 1787 I ER mae uae ES Finanzdienstleistungsaufsicht Frankfurt Web form BB_1234_MeinBeschwerdebericht xis Cancel specialised proced
13. pecialised procedure and the respective party subject to the notification requirement guarantor The applicant will then receive an e mail from BaFin confirming the account activation For practical instructions regarding application for a specialised procedure please refer to the MVP Portal User Manual link lt http www bafin de SharedDocs Downloads DE dl mvp portal handbuch pdf blob publicationFile amp v 4 gt 3 Submission for a selected sub procedure Once BaFin has activated your account for the specialised procedure Insurance Supervision you can submit the notifications described above Technically speaking there are different ways to submit notifications a By using the Web Service SOAP For detailed information about how to install and configure a web service client about accessing the Web Service and about authentication using WebService Security please refer to the SOAP Web Service User Manual which you can find on BaFin s website under MVP Portal gt Manuals link lt http www bafin de SharedDocs Downloads DE dl_mvp portal web service handbuch pdf blob publicationFile amp v 6 gt The WSDL and XSD files you need to participate in the specialised procedure Insurance Supervision can be downloaded at the following URL https portal mvp bafin de 444 services ws va wsdl link For the purpose of authentication the SOAP request must contain the user name under which you registered with the MVP Port
14. procedure Insurance Supervision consists of the following sub procedures submissions e Ad hoc Abfragen Prefix ADHOC Rechnungszins KV Prefix AUZ KA Sammelverf gung Prefix BW1 to BW5 BerVersV BerPensV Rundschreiben per DUVA Besondere Verwendung Prefix BESV Krawatte Prefix KR Zinsgarantieabfrage PK Prefix PKZG Risikoberichte Prefix RI Sonderabfragen KV Prefix SAKVU Stresstest Prefix ST Vollerhebung KV 2014 Prefix VEKVU Vollerhebung LV 2014 Prefix VELVU Prognoserechnung Prefix SR SZ Zinsgarantien LV Prefix ZG Technische Berechnungsgrundlagen Prefix TB 1 Anlagen Streuung Fonds Immobilien Beteiligungen Verbundene Unternehmen Hedgefonds ABS CLN Rohstoffprodukte Mischung only available in German see also http www bafin de SharedDocs Downloads DE Formular dl_vf_ 110621 anlagen va html 1 BaFin ENG Bundesanstalt fiir 3 Z Finanzdienstleistungsaufsicht e Beschwerdeberichte Prefix BB Important note The prefixes in brackets are designed to facilitate the referencing of files to the sub procedures as the MVP Portal features separate upload areas for the different submissions It is therefore essential that the file naming conventions described at the end of this document be observed The following illustration gives an overview of the steps from registration through to actual submission of data These steps are explained in more detail in the text below Registration on Application
15. submitting notifications automatically by using the Web Service you can also upload files manually First you have to log in to the MVP Portal with your access data Information on how to register with and log in to the MVP Portal can be found in the sections above and in the MVP Portal User Manual link lt http www bafin de SharedDocs Downloads DE dl mvp portal handbuch pdf blob publicationFileav 4 gt Then you have to select the undertaking subject to the notification requirement guarantor and the sub procedure for which you wish to submit a notification BaFin Bundesanstalt fiir Finanzdienstleistungsaufsicht Submit a report Specialised procedure Specialised procedure Insurance Supervision mandatory field Registered entities subject to the notification requirement Entity subject to the notification requirement Bundesanstalt f r Finanzdienstleistungsaufsicht Frankfurt w mandatory field Report Ad hoc Abfragen Prefix ADHOC BerVersV BerPensV Rundschreiben per DUVA Report Beschwerdeberichte Prefix BB Besondere Verwendung Prefix BESV KA Sammelverf gung Prefix BW1 to BW5 Krawatte Prefix KR Prognoserechnung Prefix SR S oe Rechnungszins KV Prefix AUZ Submit form Risikoberichte Pr fix RI k Se Een sonderabfragen KV Prefix SAKVU Please click here to submit you Stresstest Prefix ST Technische Berechnungsgrundlagen Prefix TB Vollerhebung KV 2014 Prefix VEKVU
16. sx d Submission Besondere Verwendung Prefix BESV doc docx xis xlsx pdf txt csv zip gz e Submission Beschwerdeberichte Prefix BB doc docx xls xlsx pdf f All other submissions zip gz Technical information For packed files zip and gz only the store and deflating compression algorithms are permitted In most cases deflating is the default setting Should you receive an unclear error message regarding the contents and structure of the zip archive please make sure that the names of the files contained in the zip archive are correct It might also be helpful to check whether your file compression tool can handle this method 2 All files i e any single files packed container files zip or gz and any files contained therein must comply with general naming conventions With regard to container files this applies both to the file name when the files are uploaded manually and to the data field file name in the SOAP Header when using the SOAP Web Service Therefore the file name must a not contain any relative path specifications b contain only letters digits dots dashes and underscores Blank characters control characters and special characters are not permitted c not consist of more than 100 characters including file extension 3 The packed container file zip or gz and any files contained therein must depending on the desired sub procedure
17. to the MVP Portal User Manual link lt http www bafin de SharedDocs Downloads DE dl_mvp portal handbuch pdf blob publicationFile amp v 4 gt 2 Application for specialised procedure Insurance Supervision After you have successfully registered and logged in to the MVP Portal you have to apply for the specialised procedure Insurance Supervision in order to make submissions for this 3 BaFin Bundesanstalt fiir Finanzdienstleistungsaufsicht specialised procedure Select Apply for specialised procedure under the heading Specialised procedures and select Insurance Supervision from the drop down menu Application for a specialised procedure Specialised procedure Specialised procedure AIFMD Reporting Announcement sections 37 et seq WpHG Article 15 2 Regul EU No 149 2013 Article 4 2 EMIR international Refresh Submit Article 4 2 EMIR national Employee and complaints register Filing of Final Terms Insurance Supervision Insurance Supervision Solvency Il KUSTA DTB Net short positions Notifications section 15 WpHG Notifications section 30c WpHG Notifications section 30e WpHG Notifications section 312 KAGB UCITS Notifications section 331 KAGB AIF Notifications section 38 DerV Prospectuses WpPG VermAnIG Register of tied agents Transaction reporting section 9 WpHG WM Data service TEST AIFMD Reporting TEST Announcement sections 37 et seq WpHG TEST Article 15 2 Regul EU No 14
18. ure eV Fe am Main View application list 11 12 2014 Insurance Beschwerdeberichte Bundesanstalt f r Eed gt Finanzdienstleistungsaufsicht Frankfurt Web form BB_1234_MeinBeschwerdebericht xisx te HNO r 17826 10 51 45 Supervision Prefix BB ee User account Bundesanstalt f r 11 12 2014 Insurance Beschwerdeberichte Fr rsrh neschin den Es gsaufsicht Frankfurt Web form BB_1234_MeinBeschwerdebericht docx x 17825 10 51 14 Supervision Prefix BB SMa creenshot 8 View journal As a last step please check the status of your notification 12
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