Separate reimbursement; authorisation to issue statutory instruments

(1) The costs incurred by BaFin 1. through at least one of the following measures: a) the appointment of a liquidator under section 37(1), second sentence, section 38(2) of the Banking Act, under section 38(1), second sentence, no. 2, or under section 38(2), first sentence of the Credit Secondary Market Act in conjunction with section 38(2) of the Banking Act, b) a public notice under section 32(4), section 37(1), third sentence or section 38(3) of the Banking Act, or section 10(8) or section 38(1), third sentence of the Credit Secondary Market Act, c) an examination carried out under section 44(1) or (2), also in conjunction with measures under section 44(6), section 44b(2), also in conjunction with measures under section 44b(5), or section 44c(2), also in conjunction with measures under section 44c(4) of the Banking Act, or under section 31(2), also in conjunction with measures under section 31(3) of the Credit Secondary Market Act in conjunction with section 44(6) of the Banking Act or in conjunction with section 44b(2), also in conjunction with section 44b(5) of the Banking Act, or section 39(2), also in conjunction with measures under section 39(4) of the Credit Secondary Market Act, d) a search carried out under section 44(5), also in conjunction with measures under section 44(6), section 44b(4), also in conjunction with measures under section 44b(5), or section 44c(3), also in conjunction with measures under section 44c(4) of the Banking Act, or under section 31(3) of the Credit Secondary Market Act in conjunction with section 44(5), also in conjunction with section 44(6), or section 44b(4), also in conjunction with section 44b(5), or section 39(3), also in conjunction with measures under section 39(4) of the Credit Secondary Market Act, 1a. through an examination carried out under section 4, no. 3 of the KfW Ordinance in conjunction with section 44(1) or (2) of the Banking Act, 1b. through at least one of the following measures: a) an examination carried out under section 5(4), second to sixth sentences, also in conjunction with measures under section 5(9) or (5), fourth to sixth sentences of the Securities Institutions Act, b) a search under section 5(8), also in conjunction with measures under section 5(9) of the Securities Institutions Act, 1c. through examination acts carried out on site on behalf of the European Central Bank under Article 12 of Regulation (EU) No 1024/13, insofar as those costs are not invoiced by the European Central Bank, 2. through an examination carried out under section 88(1) or section 89(5) or section 32f(1) of the Securities Trading Act, 3. on the basis of an examination carried out under section 44(3) of the Banking Act of the accuracy of the data transmitted for the consolidation under section 10a(4) and (5) and section 25(2) of the Banking Act and under Article 11 of Regulation (EU) No 575/2013, as amended on 17 June 2025, 4. through at least one of the following measures: a) the appointment of a liquidator under section 308(1), second sentence, b) an examination carried out under section 306(1), nos. 1, 2 or 3, also in conjunction with section 306(2), or section 306a(2), also in conjunction with measures under section 306a(4), in each case also in conjunction with section 1(3) and (4), first sentence, section 65(2) and (3), section 67(2), section 225, third sentence or section 237(1) of the Insurance Supervision Act, c) a search under section 306(5), also in conjunction with measures under section 306(6), or section 306a(3), also in conjunction with measures under section 306a(4) of the Insurance Supervision Act, 5. (repealed) 6. through the application for the appointment or removal of an administrator under section 22l or section 22o of the Banking Act, 7. through a) the appointment of a liquidator under section 39(4) of the Capital Investment Code in conjunction with section 38(2), second or third sentence of the Banking Act, b) a public notice under section 21(4) or section 22(5) or section 39(4) of the Capital Investment Code in conjunction with section 38(3) of the Banking Act, c) the appointment of a liquidator under section 15 of the Capital Investment Code, d) an examination carried out under section 14(2), second to fourth sentences, also in conjunction with measures under section 14(4) of the Capital Investment Code, e) a search carried out under section 14(3), also in conjunction with measures under section 14(4) of the Capital Investment Code, 8. through an examination carried out under section 50 of the Deposit Guarantee Act or section 7(3), fourth sentence of the Investor Compensation Act in conjunction with section 44(1) of the Banking Act, also in conjunction with section 6(3), third sentence of the Investor Compensation Act, 9. (repealed) 10. through a) the appointment of a liquidator under section 7(1), second sentence of the Payment Services Supervision Act, under section 13(3), first sentence of the Payment Services Supervision Act in conjunction with section 38(2), second or fourth sentence of the Banking Act, under section 26(3) or (4), in each case in conjunction with section 7(1), second sentence of the Payment Services Supervision Act, or of a supervisory person under section 21(2), second sentence, no. 3 of the Payment Services Supervision Act, b) a public notice under section 7(1), third sentence, under section 39(3) or (4), in each case in conjunction with section 7(1), third sentence, or a public notice under section 13(4) of the Payment Services Supervision Act, c) an examination carried out on the basis of aa) section 39(3) or (4), in each case in conjunction with section 8(2), (3) or (4), or section 19(1), third sentence, also in conjunction with measures under section 19(6) of the Payment Services Supervision Act, bb) section 8(2), also in conjunction with measures under subsection (3) or (4), or section 19(1), third sentence, also in conjunction with measures under section 19(6) of the Payment Services Supervision Act, cc) section 19(1), third to fifth sentences, also in conjunction with measures under subsection (6) of the Payment Services Supervision Act, d) a search carried out on the basis of section 19(5), also in conjunction with measures under subsection (6), or under section 8(3), also in conjunction with measures under subsection (4) of the Payment Services Supervision Act, 11. through non-fee-bearing measures under the Recovery and Resolution Act, the Restructuring Fund Act, or Regulation (EU) No 806/2014 of the European Parliament and of the Council of 15 July 2014 establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the framework of a Single Resolution Mechanism and a Single Resolution Fund, and amending Regulation (EU) No 1093/2010 (OJ L 225, 30.7.2014, p. 1, L 101, 18.4.2015, p. 62), 12. through an examination carried out under section 107(1), also in conjunction with measures under section 107(7) of the Securities Trading Act, 13. through a) the appointment of a liquidator under section 9(1), second sentence, no. 2 or section 13(2), second sentence of the Crypto-Markets Supervision Act, b) a public notice under section 30, first sentence or section 35(2), first sentence of the Crypto-Markets Supervision Act, c) an examination carried out under section 10(2), also in conjunction with measures under section 10(4), or section 20(2), also in conjunction with section 25(2) of the Crypto-Markets Supervision Act, d) a search carried out under section 20(3), also in conjunction with measures under subsection (4), or under section 25(3) of the Crypto-Markets Supervision Act, also in conjunction with measures under subsection (4), e) a search carried out under section 10(3), also in conjunction with measures under section 10(4), 14. through a) an examination act carried out on site or remotely under section 11 of the AI Market Surveillance and Innovation Support Act in conjunction with Article 14(1) and (4)(d) of Regulation (EU) 2019/1020, also in conjunction with measures under section 11 of the AI Market Surveillance and Innovation Support Act in conjunction with Article 14(1) and (4)(e) of Regulation (EU) 2019/1020, b) a measure under section 11 of the AI Market Surveillance and Innovation Support Act in conjunction with Article 14(1) and (4)(h) of Regulation (EU) 2019/1020, must, in the cases of nos. 1, 1b, 2, 4, 7 and 9 to 11 as well as 13 and 14, be separately reimbursed to BaFin by the person concerned; in the case of no. 1a, by Kreditanstalt für Wiederaufbau; in the cases of no. 3, by the undertaking obliged to consolidate; in the cases of no. 5, by the undertaking maintaining the register; in the cases of no. 6, by the undertakings named in section 22n(5), second and third sentences of the Banking Act; in the cases of no. 8, by the institutions concerned; and in the cases of no. 12, by the undertakings within the meaning of section 106 of the Securities Trading Act. The costs under the first sentence also include the costs with which BaFin is charged by the Deutsche Bundesbank and other authorities that act for BaFin in the context of such measures, or on behalf of the European Central Bank within the framework of the Single Supervisory Mechanism within the meaning of Article 2, point 9 of Regulation (EU) No 1024/2013, or that BaFin incurs through engaging third persons as administrative assistants under section 11(2) of the AI Market Surveillance and Innovation Support Act, as well as the costs of deploying its own staff.
(2) BaFin must reimburse the Deutsche Bundesbank and the other authorities that act for it within the framework of subsection (1), or on behalf of the European Central Bank within the framework of the Single Supervisory Mechanism within the meaning of Article 2, point 9 of Regulation (EU) No 1024/2013, for personnel and material expenditure. The amount of the reimbursement, in particular the hourly rates for the deployment of those authorities' staff, is determined by reimbursement guidelines issued by the Ministry.
(3) Sections 4, 6, 13(1) and sections 14 and 15 of the Federal Fees Act apply accordingly to the assessment of cost reimbursement, the obligation to reimburse the cost debt, the accrual of the duty to reimburse costs, its due date, and advance payment and provision of security, subject to subsections (4) and (5).
(4) By way of derogation from section 4 of the Federal Fees Act, the duty to reimburse costs in the cases of subsection (1), first sentence, no. 11, for ongoing monitoring and other ongoing measures expected to extend over a period longer than one year, accrues annually by 31 March of the calendar year, unless BaFin sets a different date. By way of derogation from section 6 of the Federal Fees Act, in the cases of subsection (1), first sentence, no. 11, the person for whom a duty to reimburse costs is imposed by statute or by sovereign order is also obliged to reimburse.
(5) By way of derogation from section 15(1) of the Federal Fees Act, BaFin may, in the cases of subsection (1), first sentence, require payment of an advance, or the provision of security, up to the amount of the costs expected to be reimbursed, also for measures not carried out on application. In the cases of subsection (1), first sentence extending over a longer period, advances or provision of security may also be required repeatedly.
(6) The costs to be reimbursed also include costs incurred in preparation for, during the term of, or on the conclusion of a measure.
(7) In the cases of subsection (1), first sentence, no. 11, BaFin may also require reimbursement of costs from the person who has assumed the duty to reimburse costs by declaration of commitment or contract. In those cases the request for cost reimbursement, the accrual of the duty to reimburse costs, the due date of the cost reimbursement, and the obligation to pay an advance or provide security, are determined by that declaration of commitment or contract.
(8) The costs to be reimbursed under subsection (1), first sentence, no. 11 may be calculated as flat-rate costs. The statutory instrument under subsection (9) regulates the details.
(9) The Ministry is authorised to determine details of the separate reimbursement by statutory instrument. Insofar as the statutory instrument contains provisions on the flat-rate costs under subsection (8), a distinction must be made between individual measures and activities.