Reports by the Federal Institute to the European Commission, to the European Supervisory Authorities, and to the body maintaining the company register

(1) The Federal Institute reports to the European Commission, at its request, 1. every intention notified under section 19 by an undertaking with its seat in a third country to acquire a significant participation in a UCITS capital management company, 2. every application for the grant of an authorisation under section 21 by a subsidiary of an undertaking with its seat in a third country.
(2) The Federal Institute reports to the European Commission without delay 1. the number and type of cases in which a branch has not been established in another member state of the European Union or another contracting state of the Agreement on the European Economic Area because the Federal Institute has refused to forward the notification under section 49(2), third sentence, 2. the number and type of cases in which measures were taken under section 51(5), third sentence, and (6), first sentence, 3. general difficulties that UCITS capital management companies have encountered in establishing branches, forming subsidiaries, or operating services and ancillary services under section 20(2), points 1 to 3, in a third country, 4. every measure taken under section 311(3), first sentence, point 1, 5. general difficulties that UCITS capital management companies have in marketing units in a third country.
(3) The Federal Institute makes available to the European Commission annually the following information on AIF management companies that manage or market AIFs under its supervision: 1. particulars of the seat of the AIF management company concerned, 2. where applicable, particulars of the domestic AIFs or EU AIFs managed or marketed by the AIF management companies concerned, 3. where applicable, particulars of the foreign AIFs managed by AIF capital management companies but not marketed in the European Union or in another contracting state of the Agreement on the European Economic Area, 4. where applicable, particulars of the foreign AIFs marketed in the European Union or in another contracting state of the Agreement on the European Economic Area, 5. particulars of the applicable national or Union-law regime under which the AIF management companies concerned carry out their activities, 6. other information that is important for understanding how the management and marketing of AIFs by AIF management companies in the European Union or in another contracting state of the Agreement on the European Economic Area functions in practice, and 7. the point in time from which the passporting regime under sections 57, 58, 65, 66, 322, 324 to 328, and 331 to 334 was applied.
(4) The Federal Institute notifies the European Securities and Markets Authority without delay of 1. the particulars under subsection (2), first sentence, points 1, 2, 4, and 5, 2. the exemption of a foreign AIF management company whose reference member state is the Federal Republic of Germany, under section 59(1), from complying with certain provisions of Directive 2011/61/EU, 3. the outcome of the authorisation procedure, changes to the authorisation, and the revocation of the authorisation of a foreign AIF management company whose reference member state is the Federal Republic of Germany, under section 60(1), 4. changes concerning the ending of the marketing or the additional marketing of AIFs under section 322(1), first sentence, by AIF capital management companies a) domestically, under section 322(5), third sentence, and b) in other member states of the European Union and other contracting states of the Agreement on the European Economic Area, under section 332(3), point 2, 5. changes concerning the ending of the marketing or the additional marketing of EU AIFs or domestic AIFs by AIF management companies whose reference member state is the Federal Republic of Germany a) domestically, under section 325(2), point 3, and b) in other member states of the European Union and other contracting states of the Agreement on the European Economic Area, under section 333(2), point 3, 6. changes concerning the ending of the marketing or the additional marketing of foreign AIFs by AIF management companies whose reference member state is the Federal Republic of Germany a) domestically, under section 326(3) in conjunction with section 322(5), and b) in other member states of the European Union and other contracting states of the Agreement on the European Economic Area, under section 334(3), point 3, 7. the activation or deactivation of liquidity management tools following receipt of a communication under section 35(4a) and (4b). The Federal Institute must at the same time also transmit the information under the first sentence, point 7, to the European Systemic Risk Board, where the activation or the deactivation is associated with potential risks to the stability and integrity of the financial system.
(5) The Federal Institute reports to the European Securities and Markets Authority quarterly 1. the authorisations granted under section 22 and the authorisations revoked under section 39, 2. information on AIF management companies that manage or market AIFs subject to the supervision of the Federal Institute, either under the passporting regime provided for under Union law or under the national regime, and all changes to the list of the aforementioned AIFs managed or marketed by the AIF capital management company.
(6) The Federal Institute further informs the European Securities and Markets Authority of 1. every authorisation granted under section 21, 2. the information under section 35(5) that has additionally been required from AIF capital management companies and foreign AIF management companies whose reference member state is the Federal Republic of Germany, 3. the proposal to grant authorisation to a foreign AIF management company whose reference member state is the Federal Republic of Germany, contrary to the recommendation of the European Securities and Markets Authority, under section 58(5) and section 59(3), 4. rejected applications for authorisation, with particulars of the foreign AIF management company, stating the grounds for the rejection, under section 60(2), 5. the assessment for determining the foreign AIF management company whose original reference member state is the Federal Republic of Germany, under section 61(1), including the foreign AIF management company's reasoning for its assessment regarding the reference member state, and information on the new marketing strategy of the foreign AIF management company, under section 61(2), 6. the decision taken after receipt of the recommendation of the European Securities and Markets Authority, stating the grounds, under section 61(4), 7. the final decision, stating the grounds, where it conflicts with the recommendation of the European Securities and Markets Authority, under section 61(5), point 1, 8. the possible commencement of the marketing of AIFs under section 322(1), first sentence, by AIF capital management companies a) domestically, under section 322(4), and b) in other member states of the European Union and contracting states of the Agreement on the European Economic Area, under section 332(3), point 1, 9. the possible commencement of the marketing of EU AIFs or domestic AIFs by a foreign AIF management company whose reference member state is the Federal Republic of Germany a) domestically, under section 325(2), point 3, and b) in other member states of the European Union and contracting states of the Agreement on the European Economic Area, under section 333(2), point 2, 10. the possible commencement of the marketing of foreign AIFs by a foreign AIF management company whose reference member state is the Federal Republic of Germany a) domestically, under section 326(3) in conjunction with section 322(4), and b) in other member states of the European Union and contracting states of the Agreement on the European Economic Area, under section 334(3), point 2, 11. the possibility of the commencement of the management of EU AIFs by a foreign AIF management company whose reference member state is the Federal Republic of Germany, in other member states of the European Union and contracting states of the Agreement on the European Economic Area, under section 65(4), 12. the view that a foreign AIF management company whose reference member state is the Federal Republic of Germany is not complying with the obligations under Directive 2011/61/EU, stating the grounds, 13. sufficient grounds for suspecting an infringement by an AIF management company not subject to the supervision of the Federal Institute of the provisions of Directive 2011/61/EU, under section 9(10), 14. measures and sanctions taken against AIF management companies, 15. the business of AIF capital management companies and foreign AIF management companies whose reference member state is the Federal Republic of Germany, correspondingly to section 9(4), and information collected under sections 22 and 35, in aggregated form, under section 9(5), 16. every change concerning the types of retail AIF and the additional requirements provided for retail AIFs, 17. the intention to restrict the amount of leverage under section 215(2), first sentence, also in conjunction with section 274, and the steps taken regarding other restrictions on the management of the AIF under section 215(2), second and third sentences, also in conjunction with section 274, 18. measures under point 17 taken contrary to the recommendation of the European Securities and Markets Authority, stating the grounds, under section 215(4), second sentence, also in conjunction with section 274, 19. all final measures and non-appealable fine decisions published, or not published in conjunction with section 341a(3), under section 341a(1), first sentence, points 1 and 3, insofar as they derive from Directive 2009/65/EC or Regulation (EU) 2017/2402, or that are referred to in section 120(21) of the Securities Trading Act and derive from Regulation (EU) 2015/2365, and that are referred to in section 120(22) of the Securities Trading Act and derive from Articles 16, 23, 28, and 29 of Regulation (EU) 2016/1011; the Federal Institute transmits to the European Securities and Markets Authority the final, non-appealable decisions concluding criminal proceedings concerning offences under section 339(1), point 1, relating to the operation of the business of a UCITS capital management company, together with the reasoning; the Federal Institute transmits to the European Securities and Markets Authority annually a summary of information on measures and fine decisions for infringements of the prohibitions and requirements referred to in section 340(7), point 1, that derive from Directive 2009/65/EC, 20. every authorisation for re-securitisation under Article 8(2) of Regulation (EU) 2017/2402, 21. all administrative sanctions imposed, and, where applicable, any related appeal proceedings and their outcome, insofar as they are based on Regulation (EU) 2017/2402, 22. orders under section 98(3), first sentence. The Federal Institute must additionally transmit the information under the first sentence, points 15 and 17, to the European Systemic Risk Board, and the information under the first sentence, point 16, additionally to the European Commission. The Federal Institute must, at the same time, additionally transmit the information under the first sentence, point 22, to the competent authorities of the host member state of the investment fund, the competent authorities of the home member state of the management company, and, where there are potential risks to the stability and integrity of the financial system, the European Systemic Risk Board.
(7) The Federal Institute notifies the European Banking Authority, the European Securities and Markets Authority, and the European Insurance and Occupational Pensions Authority, in accordance with the procedure under Article 36(6) of Regulation (EU) 2017/2402, where it, as the competent authority of the first point of contact designated under Article 27(1) of that Regulation, learns of an infringement of the requirements of Article 27(1).
(8) The Federal Institute transmits to the body maintaining the company register, once a year, the name and address of the following capital management companies and investment companies that become known to it: 1. external capital management companies, 2. registered AIF capital management companies, 3. UCITS investment stock corporations, 4. AIF retail investment stock corporations with variable capital, 5. AIF special investment stock corporations with variable capital, 6. open-ended investment limited partnerships, 7. retail investment stock corporations with fixed capital, 8. special investment stock corporations with fixed capital, 9. closed-ended retail investment limited partnerships, and 10. closed-ended special investment limited partnerships. Becoming known within the meaning of the first sentence occurs: 1. for capital management companies, upon the grant of the authorisation or confirmation of the registration, 2. for retail investment funds, upon approval of the investment conditions, 3. for special investment funds, upon submission of the investment conditions to the Federal Institute.