Electronic communication; Authorisation to issue statutory instruments

(1) Management companies, investment companies, depositaries, interested acquirers under section 19(1), first sentence, or holders of significant participations must transmit electronically, via the procedure under subsection (2):
1. notifications under section 18(4), second sentence, section 19(1), first sentence, and (5), sections 34 and 38(2), first sentence, in conjunction with section 28(1), first sentence, of the Banking Act, section 49(1), (4), first sentence, (5), first sentence, (6), fourth sentence, section 51(2), third sentence, and (3), third sentence, section 53(1) and (5), section 65(5), section 80(3), fourth sentence, section 100(3), fourth sentence, section 112(1), fifth sentence, point 2, letter b, section 114, first sentence, section 119(2), second sentence, section 121(2), fifth sentence, in conjunction with section 28(1), first sentence, of the Banking Act, section 129(2), first sentence, section 130, first sentence, section 144, fifth sentence, point 2, letter b, section 145, first sentence, section 147(2), second sentence, section 153(2), second sentence, section 154(2), first sentence, point 1, section 155, first sentence, section 200(4), also in conjunction with section 204(1), section 295a(4), section 295b(2), second sentence, section 306b(4), first sentence, section 312(1) and (4), third sentence, section 312(6a), section 313a(3) and (5), first sentence, section 316(1), (2), and (4), section 320(1), (2) in conjunction with section 316(2), section 320(4) in conjunction with section 316(4), section 321(1), (2), and (4), section 329(2), (4) in conjunction with section 321(2) and (3), third sentence, section 330(2) and (4) in conjunction with section 316(2) and (3), section 330a(2), section 331(1) and (7), first sentence, section 331a(3), section 337(1), point 2, in conjunction with Article 15 of Regulation (EU) No 345/2013, section 338(1), point 2, in conjunction with Article 16 of Regulation (EU) No 346/2013, as well as the documents and information that may need to be submitted in the course of the administrative procedure begun with the notification,
2. applications for
a) grants of authorisation under section 20(1), first sentence, (2), and (3), section 58(1), section 113(1), first sentence,
b) approvals under section 36(1), first sentence, point 3, section 69(1), first sentence, and (4), second sentence, also in conjunction with section 87, section 96(2), third sentence, section 100(3), first sentence, section 100b(1), first sentence, or (4), section 110(4), section 163(1), first sentence, section 117(5), third sentence, section 171(1) and (4), section 178(2), section 179(2), section 182(1) and (2), also in conjunction with sections 191 and 267(1), section 272a(1), second sentence, and (4), first sentence, section 272g(2),
c) admissions under section 338a in conjunction with Article 5(1) and (2) of Regulation (EU) 2015/760,
d) exemptions under section 38(4), sixth sentence,
e) registrations under section 44(4), first sentence, also in conjunction with section 337(1), point 1, or section 338(1), point 1, and Article 6 of Regulation (EU) 2019/1238 of the European Parliament and of the Council of 20 June 2019 on a pan-European Personal Pension Product (PEPP) (OJ L 198, 25.7.2019, p. 1),
f) confirmations under section 163(2), sixth sentence, section 171(5), fifth sentence, section 178(3), fifth sentence, section 179(4), fifth sentence, section 330a(3), second sentence, and under section 10(2), second sentence, of the Derivatives Ordinance,
g) approvals under section 163(4), seventh sentence, section 239(2),
h) certificates under section 171(6), first sentence, section 246(2), section 264(2), section 312(6), section 335(1) and (2),
i) permissions under Article 14(4) and (5) of Delegated Regulation (EU) No 231/2013, as well as the documents and information that may need to be submitted in the course of the administrative procedure begun with such an application,
3. notices under section 44(1), first sentence, point 5, section 61(1), second to fourth sentences, section 80(4), first sentence, section 176(3), first sentence, and (6), second sentence, section 178(5), first sentence, section 179(6), section 215(1), also in conjunction with section 263(2) or with section 274, first sentence, section 216(5), also in conjunction with section 271(4) as well as with section 278 or with section 286(1), section 272e(3), section 272g(5) and (6), second sentence, section 289, section 312(6a), first sentence, section 330a(2), second sentence, point 2, and Article 4(2) and (3) of Delegated Regulation (EU) No 231/2013,
4. reports, documents, and information under section 38(1), second sentence, section 65(1) and (2), section 96(2), fourth sentence, section 117(5), fourth sentence, section 132(2), second sentence, section 164(4) and (5), section 173(5), section 179(1), second sentence, section 186(4), first sentence, section 187(3), also in conjunction with section 191, section 215(1), section 226, section 263(2), section 273, second sentence, section 272b(5), section 274, first sentence, section 290(1), point 3, and (5), section 313a(5), first sentence, Article 5(5) of Delegated Regulation (EU) No 231/2013, Article 12(1), first sentence, and (2) of Regulation (EU) No 345/2013, Article 13(1) of Regulation (EU) No 346/2013, and
5. evidence under section 315(1), first sentence, and (2), second sentence, and under section 250(2), third sentence.
(2) Management companies, externally managed UCITS investment stock corporations, and depositaries are obliged to use an electronic communication procedure provided by the Federal Institute for the electronic transmission of the notifications, applications, notices, reports, documents, information, and evidence listed in subsection (1), and to set up electronic access for this purpose. They must ensure that it is checked regularly, at the latest every five calendar days, whether notices have been made available to them via the electronic communication procedure. This also applies to administrative acts that are notified electronically under section 4f of the Financial Services Supervision Act, or served electronically under section 4g of the Financial Services Supervision Act. Management companies, externally managed UCITS investment stock corporations, and depositaries may also engage authorised representatives for electronic communication with the Federal Institute.
(3) The Federal Ministry of Finance may, in agreement with the Federal Ministry of Justice and Consumer Protection, issue, by statutory instrument not requiring the consent of the Bundesrat, more detailed provisions on
1. the content and form of the notifications, applications, notices, documents, and information under subsection (1), and the documents to be enclosed, and
2. access to, and use of, the electronic communication procedure, and the data formats for notifications, applications, notices, reports, documents, information, and evidence under subsection (2). The Federal Ministry of Finance may transfer the authorisation, by statutory instrument, to the Federal Institute.