MVP Portal - User Manual
Contents
1. Invalid value Mitarbeiter 1 You are not yet 8 21 2012 TEST Employee and complaints piae ELE register 342 Content of element does not match data type 4 1 Field istVertriebsbeauftragter must be true 8 20 2012 Employee and complaints registe Federal Financial Supervisory Authority Page 20 1 2 5 Cancellation of specialised procedures If you no longer wish to submit any further notifications in a specialised procedure you applied for in the MVP Portal you may cancel this specialised procedure To do this select the menu item Cancel specialised procedure and from the drop down menu the specialised procedure concerned as well as the person entity subject to the notification requirement on whose behalf you have submitted notifications To complete this operation click on the Cancel button Important notice Once completed cancellation of a specialised procedure cannot be reversed BaFin m GLS 6 UI 2 4 181 2 4 Federal Financial Supervisory Authority MVP Portal Logged in as john does Cancel specialised procedure Language Dense Specialised procedure Specialised procedure Filing of Final Terms z English General information B Registered persons entities subject to the notification requirement jome Person entity subject to the notification requirement John s Friendly Financial Company London Documentation Help Logout Cance2. in the menu BaFin Federal Financial GE Ss d Supervisory Authority GCS J MVP Portal Language Deutsch BRS are registering as etalls English Personal details General information Prefix Home fa ere rl Title Documentation Help ee Logout Surname D Birth name Specialised procedure Date of birth Submit report Place of birth ana m View journal bas fondi Street Application for a specialised procedure Post code city temone Country Cancel specialised procedure Phone View application list Fax E mail User account Company details Request new password Company name Edit user account i Street Change e mail address Post code city Country Close user account y Password for encrypted q Figure 19 Edit user account An input form opens to change your user data Please click on the button change when you re done In order to change your e mail address please use the function Change e mail address Federal Financial Supervisory Authority Page 26 1 2 11Change e mail address To change your e mail address select the link Change e mail address in the menu BaFin Federal Financial Supervisory Authority MVP Portal Change e mail address Language Deutsch e Please enter the new e mail address SS a English E mail General information E mail Home VASSA Help Change Logout Specialised procedure Submit report View journal A
3. The notifications will continue to be submitted via the usual platform Eventually these procedures will be transferred to the MVP Portal but this will be announced separately Requirements 1 1 Technical requirements To register on the MVP Portal and submit notifications there you must meet the following technical requirements 1 1 1 Internet access To submit electronic notifications to us you need an Internet enabled computer with Internet access When sensitive data are transmitted you should submit notifications from a secure network so that the data transfer cannot be intercepted An openly accessible WLAN for example is not suitable for sending sensitive data 1 1 2 Web browser You need a web browser in order to access the MVP Portal which was tested with the Internet Explorer as well as Mozilla Firefox Normally it should be possible to use any HTML compliant browser 1 1 3 E mail For the registration you need an e mail address and a means of accessing it You must provide this e mail address during the registration process it serves as the primary channel of communication between BaFin and you In the case of certain sensitive operations an e mail is sent to you in order to confirm the operation Federal Financial Supervisory Authority Page 4 1 1 4 Web service client If you would like to use the option of sending us notifications in automated form in a single operation you need a SOAP compatible we
4. Click on the confirmation link provided in the e mail 4 You will be redirected to the MVP Portal to confirm that you intend to close your account Closing of the account will then be initiated After your user account has been closed all notification authorisations will be revoked Should you have submitted preliminary notifications without having been granted notification authorisation these preliminary notifications will be deleted Subsequently your account will be closed and you will no longer have access to the system You will no longer be able to log in to the MVP Portal 1 3 Documentation In addition to this User Manual an online documentation is provided that can be viewed under the menu item Documentation Help on the MVP Portal This can also be done without logging in This User Manual as well as the online documentation will be updated as required Particularly the menu item FAQs frequently asked questions will be supplemented over time by questions brought to our attention 1 4 Adjusting the language environment To switch the displayed language to English please use the link in the main menu Language German English Currently only these two languages are available Normally the browser setting is evaluated as the displayed language and English selected in the case of non German browsers
5. English Notice The application forms containing the personal details as they are stored at this time In the case that you have edited your user data since the original application the currently valid data will be shown Figure 13 View application list If you click on the respective application number you will be able to re generate the PDF form The selected application depends on the procedure you have applied for Here you can also view the status of your application Applications may have reached the following status e preliminary Your application has been submitted electronically but has not yet been processed by BaFin Depending on the procedure selected you may be allowed to submit preliminary notifications e accepted Your application has been accepted Depending on the procedure selected you can now submit notifications preliminary notifications that have already been submitted become final e refused BaFin has refused your application preliminary notifications have been deleted e cancelled You have cancelled your application and your preliminary notifications have been deleted notifications that have become final are retained Federal Financial Supervisory Authority Page 22 Important notice The data contained in the applications correspond to the current user data Should you have changed your user data since submission of the application the current data will be used 1 2 7 Logg
6. John i Surname Doe Login B E mail oliver hennl bafin de User account Company details Company name John s Friendly Financial Company Registration Request new password Figure 4 Registration e mail transmission Federal Financial Supervisory Authority Page 9 You then receive an e mail with a link opening a page in which you must confirm the registration and enter your remaining data This link is valid for 72 hours If you do not respond within this time the registration data will be removed from our system Von noreply bafin de An Cc Betreff Your registration at the BaFin Dear Applicant You are receiving this e mail because we have received an application for issuance of an access code in which this e mail address is stated In the event that you have not submitted such an application no further steps on your part are necessary Your e mail address will be deleted from our system automatically If the application has been submitted by you please click on the link below or copy the address into your browser in order to validate your e mail address htt tweb fags dir MvpPortal Web app userR egistration html otl 7209gbm4c4pO09velstSeOahrefd86vgo This link is valid for 72 hours If you do not respond within this time the registration data will be removed from our system Yours faithfully Federal Financial Supervisory Authority Figure 5 E mail confirmation of registrati
7. information Please enter the data and confirm with Login The Reset button deletes the data you have entered BaFin Federal Financial Supervisory Authority MVP Portal Welcome to the MVP Portal of BaFin Language guag Your log in data for the MVP Portal Deutsch Please enter your username and password below English Username General information Password Home Login Documentation Help Your registration data for the MVP Portal Login g If your are not yet a registered user please register using the button below User account Registration Registration If you are looking for technical advice or are encountering any problems don t hesitate to c Request username supplied Request new password mvp support bafin de Figure 8 Login The start screen of the MVP Portal appears you are logged in Federal Financial Supervisory Authority Version G1 5 6 LM1 2 4 LB1 2 4 Federal Financial Supervisory Authority MVP Portal Logged in as john doe4789 Language vM guag BaFin Reporting and Publishing Portal Deutsch Welcome to the Reporting and Publishing Portal of the German Federal Financial Supervisory Authority BaFin This service facilitates electronic data exchange between your site and BaFin in a secure and easy to use way English You have been registered as a user for this service As of now you can start to report on the topics you have been assigned General i
8. specialised procedure is completed Important notice If no PDF document is displayed to you this may be due to an active pop up blocker In that case please click on the download link provided and open the PDF file manually Version G1 5 6 LM1 2 4 LB1 2 4 BaFin Federal Financial Supervisory Authority MVP Portal Logged in as john doeg789 Application for a specialised procedure Language Deutsch Your application has been accepted English Please print out the electronic application form sign it and send it without undue delay to BaFin enclosing any additional documents required You will find an overview of the additional documents required at the end of the electronic application form General information Once the written documentation has been received BaFin will compare the data provided electronically with the documents submitted In the event of successful verification BaFin will activate the account for the procedure and inform both the notifying party and the person entity subject to the notification requirement of the account activation Home Documentation Help If the electronic application form is not displayed click here Logout Entered data Specialised procedure Specialised procedure Filing of Final Terms Submit report Notifying party Direct notifier View journal notifying party is a person entity subject to the notification requirement or a contact person of suc
9. your personal details If you are a natural person please enter your private e mail address here if you are a contact person of a company please enter your company e mail address The field for stating your title is optional Please note that you are required to state a company name if you are registering as the contact person of a company The fields marked with are mandatory fields Federal Financial gt B aFin Supervisory Authority Page 7 1 Version ZA BaFin Federal Financial amp E Supervisory Authority MVP Portal English General information Home r M XX Reporter s capacity Documentation Help Se ppt mir me as a natural person Login asa contact person of a company User account Personal details Prefix Mr Title First name John Surname Doe E mail Company details Company name John s Friendly Financial Company Send Figure 3 Registration personal details To send your registration data to BaFin click on the Send button Federal Financial Supervisory Authority Page 8 Be BaFin Federal Financial FS Supervisory Authority mE MVP Portal Registration Language Deutsch Your registration has been successful Please check your e mail inbox and confirm the registration in order to activate your access General information Personal details Home 3 Title Documentation Help We First name
10. Federal Financial Supervisory Authority Page 1 Reporting and Publishing Platform Portal MVP Portal User Manual Last updated 26 August 2013 Federal Financial Supervisory Authority Page 2 Contents Reporting and Publishing Platform Portal c ccceeeeeee eee eee eee eee eee eee memes 1 Last updated 29 April 2013Contents 2 cece ene nnn nnn nnn 1 CONTENE ss nies 2 IMtROGUCUIOM EE 3 asieliligsingzigi me mem T ak nanan sabes MaDe aera ee nae nae hain A keane wae banana ne eaNar 3 1 1 Technical requirements ccccccccece eee e cence eee eens eee e eee menn nea sea sea sea sea nnn nnn 3 1 1 1 Internet ACCESS sc seen xxn ERN HIERRORNURR NC UAR UER cadena sea E dak anie AC RR a OD 3 1 1 2 Web DFOWSGI irre visas ia venus XE aA AAE AA AAPEEE EA RE RE EANA S caves 3 1 1 3 RM 3 1 1 4 Web service client sesessssseeseeseeeennennn ennemis seas nnn nn nnn 4 1 1 5 lala He 4 uudiueilee ELE 5 1 2 MVP Portal start page i oorr oraret tene tbe Ded mor acre or Rr Re eif 5 1 2 1 REgIStENNG m 6 1 2 2 Logging in to MVP Portali irre por eer rete Y vue Te xu Pega rea a VER EY E 12 1 2 3 Applying for specialised procedures eseeseeeeenn nmm 13 1 2 4 View jo rnal 5i rax ninar NNNSN NAEUN A RRETRRRIRRRERRTPRRTR i AR DAR NANNAN 19 1 2 5 Cancellation of specialised procedures sseeeeeeenen nnn 20 1 2 6 Vi
11. VP Portal Login If your are not yet a registered user please register using the button below User account Registration Registration If you are looking for technical advice or are encountering any problems don t hesitate to c Request username supplied Request new password mvp support bafin de Figure 1 MVP Portal start page Federal Financial Supervisory Authority Page 6 1 2 1 Registering Under the section User account in the left hand menu you select Registration to first select in what capacity you want to register as a natural person private individual or as a contact person employee of a company BaFin Federal Financial ds Supervisory Authority MVP Portal Registration Language Deutsch e You may apply for a user account in the capacity as a natural person private individual or as a contact person emp Endish If you are a natural person please enter your private e mail address If you are a contact person of a company plea 9 company e mail address General information Please note that you can register only once with your e mail address as your e mail address is attributed to your use Home Reporter s capacity Documentation Help as a natural person Login as a contact person of a company pea Refresh Submit Registration Request username Request new password Figure 2 Registration notifying party After that you will be requested to provide
12. b service client You will find the configuration and the link to the service definition in the relevant chapter for this or in the online documentation of the MVP Portal under Documentation Help 1 1 5 Printer When you apply for a notification authorisation you will be requested to print out and sign the electronically submitted application and to send it to BaFin together with the required documents Federal Financial Supervisory Authority Page 5 MVP Portal 1 2 MVP Portal start page To obtain access to the MVP Portal you first have to register as a notifying party You can find the application for this on the BaFin website http www bafin de In the upper right corner of the page you can choose English for the English version of BaFin homepage Under the section Companies and the hyperlink Reporting and publishing platform MVP in the left hand menu you will be directed to the start page of Reporting and Publishing Portal MVP Portal If MVP Portal is presented in German you can choose the English version in section Sprache Language in the left hand menu BaFin Federal Financial Supervisory Authority MVP Portal Welcome to the MVP Portal of BaFin Language guas Your log in data for the MVP Portal Deutsch Please enter your username and password below English Username General information Password Home Login Documentation Help Your registration data for the M
13. cation Notifying party is a Prefix title First name Surname Birth name Date of birth Place of birth Country of birth Address Street Post code city Country E mail Phone Fax Specialised procedure Person entity subject to Application for the specialised procedure Register of net short positions Please sign this application and send it to Bundesanstalt f r Finanzdienstleistungsaufsicht Referat WA 25 Leerverkaufs berwachung Marie Curie StraRe 24 28 direct notifier third party natural person company natural person contact person of a company Details of the notifying party Or fax it to 49 0 228 4108 1717 Application no Federal Financial Supervisory Authority Page 17 Details of the notifying party company Company Street Post code city Country Details of the person subject to the notification requirement natural person Prefix title First name Surname Birth name Date of birth Place of birth Country of birth Details of the company Company Type of reference Reference General information on the person entity subject to the notification requirement Address Street Post code city Country E mail Phone Fax date and place signature Federal Financial Supervisory Authority Page 18 After you have been displayed the automatically generated PDF form electronic application and have printed it out the application for the
14. ew application LIST ccc nnnm meme menm 21 1 2 7 Logging out of MVP Portal tenen ean x RR RE RR RR RUN RE n RI RR E A 22 1 2 8 Requesting u serthamoe 5 irit de cee x ah Rak hx RRRKERRMRRE RR ER ERRKR RANEREN 23 1 2 9 REQUESTING a new password sssssseseesenen meme nennen nnn nnn 24 1 2 10 Edit User Account sssssssssssssssssee enne 25 1 2 11 Change e mail address iret xa veu EEEN EFFACER 26 1 2 12 Close user account Lo EERIE nnn nnn 27 1 3 Doc imenktatlOoH zt prex rere bornes E A RR RUNE RR anes 28 1 4 Adjusting the language environment sess 28 Federal Financial Supervisory Authority Page 3 Introduction The present Document describes the procedure for registering with and logging in to the Reporting and Publishing Platform Portal Me de und Ver ffentlichungsplattform Portal MVP Portal of the Federal Financial Supervisory Authority Bundesanstalt fur Finanzdienstleistungsaufsicht BaFin The MVP Portal serves as a platform for various specialised procedures for which a notification requirement is prescribed by law It thus offers notifying parties the possibility of complying with their obligation to BaFin For this the steps as set out hereinafter describe how you 1 register with and then log in to the MVP Portal and 2 can apply for notification authorisation for a specialised procedure This will not result in any changes to procedures currently being reported via the MVP
15. h person entity Application for a specialised procedure Cancel specialised procedure Figure 12 Completion of application for specialised procedure Federal Financial Supervisory Authority Page 19 1 2 4 View journal Under the menu item View journal you have the possibility of keeping track of what notifications you have already transmitted to BaFin under a specialised procedure and of what processing status such notifications have reached For this simply select your filter criteria and click on search A list of the notifications you have already submitted is then displayed A Version G1 5 6 LM1 2 4 LB1 2 4 BaFin Federal Financial Supervisory Authority MVP Portal Logged in as john doe4789 View journal Language Deutsch Filter Date of report from English Date of report to General information Specialised procedure Person entity subject to the notification Home requirement Documentation Help Status Search Logout Nothing found to display Specialised procedure Submit report View journal Application for a specialised Figure 13 View journal At the bottom of the result list you can use the csv or PDF link to export the result into an EXCEL compatible CSV or a PDF file 8 22 2012 Employee and complaints registe 374 Notification successful processed 8 21 2012 Us Employee and complaints i e ste 343
16. ing out of MVP Portal To log out of the MVP Portal click on the menu item Logout on the left hand side of the main menu It is urgently recommended to end each session by logging out A session is ended automatically when it has been inactive for more than 40 minutes Supervisory Authority MVP Portal Logout Language Deutsch Your logout was successful General information Home Documentation Help Login Figure 17 Logout Federal Financial Supervisory Authority Page 23 1 2 8 Requesting username If you have forgotten your username or are concerned that unauthorised persons may have gained access to it you can request a new username Click on the menu item Request username You will be asked to enter the e mail address you have communicated on your registration at MVP Portal Please enter this e mail address and click on request button If the entered e mail address matches with the one that is stored in our system an e mail is sent to the address you have provided Please check your e mail inbox and click on the link in this e mail to confirm the operation On the web page your new username is displayed BaFin Federal Financial Supervisory Authority MVP Portal Request your username Language Deutsch Please enter the e mail address you have communicated on your registration at MVP Portal English E mail General information E mail atory fie
17. l Home Documentation Help Request Login User account Registration Request username Request new password Figure 18 Requesting new username Federal Financial Supervisory Authority Page 24 1 2 9 Requesting a new password If you have forgotten your password or are concerned that unauthorised persons may have gained access to it you should request a new password Click on the menu item Request new password You will be asked to enter the username you have received on your registration at MVP Portal Please enter this username and click on request button An e mail is sent to the e mail address you have provided on your registration at MVP Portal Please check your e mail inbox and click on the link in this e mail to confirm the operation On the web page your new password is displayed e Version G1 5 6 LM1 2 4 LB1 2 4 BaFin Federal Financial Supervisory Authority MVP Portal Request a new password Language Deutsch Please enter the username you have received on your registration at MVP Portal English Username General information Username Home mand e Documentation Help Request Login User account Registration Request username Request new password Figure 19 Requesting new password Federal Financial Supervisory Authority Page 25 1 2 10Edit User Account To edit your user account data please click on the link Edit User Account
18. l procedure Specialised procedure Submit report Figure 15 Cancellation of specialised procedures BaFin Federal Financial Supervisory Authority MVP Portal Cancel specialised procedure Language Deutsch Account of the person entity subject to the notification requirement has been cancelled English Entered data Specialised procedure Filing of Final Terms General information Person entity subjectto John s Friendly Financial Company London the notification Home requirement Da Lala Figure 16 Cancellation of specialised procedures completion Federal Financial Supervisory Authority Page 21 1 2 6 View application list BaFin Under the section View application list you can view the electronic application you have already submitted and re generate the corresponding PDF file MVP Portal General information Home Documentation Help Logout Specialised procedure Submit report View journal Application for a specialised procedure Cancel spe ed procedure View application list L User account 7 BaFin Federal Financial 3 Supervisory Authority gged nd Application list Language Application No Specialised procedure Person entity subject to the notification requirement Status Deutsch 12083 John s Friendly Financi npany London cancelled 12084 ister of net short positions John s Friendly Financi pany London preliminary
19. n H rd Please remember the log in data or print this page since without such data no Documentation Help Personal details Login Request new password Country of birth Street Post code City Country Phone Fax E mail Company details Company name Street Post code City Country Prefix Mr Title User account First name John Surname Doe Registration Birth name Date of birth 05 03 1977 Request username Place of birth London UNITED KINGDOM Green Street E13 9AZ London UNITED KINGDOM 020 8548 1234 John s Friendly Financial Company Green Street E13 9AZ London UNITED KINGDOM Password for encrypted e mail communication Password rM7yOwWspT Figure 7 Username and password for log in after registration Federal Financial B aFi n Supervisory Authority Page 12 Important notice The username and the password are assigned to you for security reasons You are not free to choose them Remember your user identification The password is stored at BaFin in encrypted form and cannot be reconstructed not even by employees of BaFin If you forget your access data a new password must be generated In such cases please refer to the relevant chapter provided in this Documentation 1 2 2 Logging in to MVP Portal With the data username and password now assigned you can log in to the MVP Portal by selecting the Login link under the section General
20. nformation The state of the reporting and processing of your data as well as other information of relevance can be viewed from the log information supplied on this portal Home In order to make the reporting and gathering information easier for you we appreciate any suggestions for improvement Documentation Help If you are looking for technical advice or are encountering any problems don t hesitate to contact our support desk via the email address supplied Logout mvp support bafin de Specialised procedure However we ask you to kindly note that we must confine communications regarding details of particular reporting obligations to personnel officially assigned to reporting within your organisation Submit report With best regards BaFin Technical Team View journal Application for a specialised procedure Cancel specialised procedure View application list User account Request new password Edit user account Change e mail address Close user account Figure 9 Start screen after log in 1 2 3 Applying for specialised procedures After successfully registering and logging in to the MVP Portal you now have the possibility of applying for a specialised procedure To do this select under the section Specialised procedure the menu item Application for a specialised procedure and from the drop down menu select the specialised procedure for which you want to submit notifications Federal Financial S
21. on Federal Financial Supervisory Authority Page 10 Supervisory Authority MVP Portal Registration continued Language Deutsch a m e a a General information Home Personal details D e Prefix M um Mu re MA s PEENE John User account Surname Doe Registration Birth name Date of birth Request username octal tee Place of birth Country of birth Request new password Street Post code city Country Phone Fax E mail Company details Company name John s Friendly Financial Company Street Post code city E Country Figure 6 Registration continued Federal Financial Supervisory Authority Page 11 Lastly you are displayed a username and a password for logging in to the MVP Portal Please from now on do not use the link which was provided in our e mail Figure 6 Email confirmation of registration Its validity has been terminated Please remember the log in data or print out this page since without such data no access to the MVP Portal is possible BaFin Federal Financial ZA ZS Supervisory Authority j MVP Portal Registration continued Language DOR OR eo Your registration has been successful Your account has been activated English e Your log in data for the MVP Portal Username Password john doe4789 znzDq5aNi6 General informatio
22. p teeck notin Third party notifier t i notifying party is a person entity subject to the notification requirement or a A third party notifier is a Logout contact person of such person entity person that submits no behalf of a person entity Third party notifier for a natural person notification requirement Specialised procedure notifying party is itself a third party notifier or a contact person of a third Regulation on Net Short P party notifier Leerverkaufspositionsverd Submit report NLPosV a suitable third pl Third party notifier for a company for the third party notifier i notifying party is itself a third party notifier or a contact person of a third requirement the authoris View journal party notifier the person entity subject notification requirement t Application for a specialised furnished If the notificati procedure is fulfiled by a contact per Refresh Submit party notifier the authori Cancel specialised procedure A Y ma m notifier Figure 11 Specialised procedure net short positions Please fill out the fields marked as mandatory fields and follow the instructions given on the Portal Once all necessary data have been entered confirm by clicking on the Apply button After that a PDF document is automatically prepared from your data and displayed Federal Financial Supervisory Authority Page 16 Frankfurt am Main Germany Details of procedure Notifying party the notifi
23. pplication for a specialised procedure Cancel specialised procedure View application list User account Request new password Edit user account Change e mail address Close user account Figure 20 Change e mail address You will be asked to provide your new e mail address in an in put field An automated mail will be sent to verify the address Please click at the link which is contained in the mail The new address will be active afterwards Federal Financial Supervisory Authority Page 27 1 2 12Close user account You can permanently close your user account under the section Close user account The account cannot subsequently be reopened BaFin Federal Financial EXV Bw Supervisory Authority ua MVP Portal Language Deutsch e The user account will be closed A login will no longer be possible English Continue General information Home Documentation Help Specialised procedure Submit report View journal Application for a specialised procedure View application list User account Request new password Edit user account Change e mail address Close user account Figure 22 Close user account To close your user account please proceed as follows 1 Click on the Close user account button Federal Financial Supervisory Authority Page 28 2 Click on the Continue button 3 You will then receive an e mail at the address you have provided
24. upervisory Authority Page 14 D BaFin Federal Financial BS Supervisory Authority MVP Portal Application for a specialised procedure Language Doneck Specialised procedure A Specialised procedure English General information EE N R Home Documentation Help Logout Specialised procedure Submit report View journal Application for a specialised procedure Cancel specialised procedure Figure 10 Applying for participation in a specialised procedure The further steps will depend on the specialised procedure selected and cannot be explained here Example In the specialised procedure for net short positions you have to select in which capacity you want to submit notifications Federal Financial B aFin Supervisory Authority Page 15 Version G1 8 BR BaFin Federal Financial LAN FE Supervisory Authority PS MVP Portal Logge Application for a specialised procedure Language Deutsch Specialised procedure Person entity subject to notification requirement Specialised procedure Filing of Final Terms v A person entity subject toj English E notification requirement is mandatory field natural person that is req a notification to BaFin e General information Regulation on Net Short P ifvi Leerverkaufspositionsver Home Notifying party NLPosV the holder of a n Notifier for a registered person entity subject to the notification requirement position Documentation Hel
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