SOAP Web-Service - User Manual
Contents
1. lt wsu Timestamp gt lt wsse BinarySecurityToken wsu Id SecurityToken 52da2d20 382f 4b8a 8e0 d4a070d8e7e1 EncodingType http docs oasis open org wss 2004 01 oasis 200401 wss soap message security 1 0 Base64Binary ValueType http docs oasis open org wss 2004 01 oasis 200401 wss x509 token profile 1 0 X509v3 xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity iE aL LAME Federal Financial Supervisory Authority Page 9 1 0 xsd gt MIIEZDCCAOygAwWIBAgIEMxVUDDANBgkghkiG9wOBAQUFADB9YMOSWCOYDVOOGEWJERTEP lt wsse BinarySecurityToken gt lt Signature xmlns http www w3 org 2000 09 xmldsig gt lt SignedInfo gt lt CanonicalizationMethod Algorithm http www w3 org 2001 10 xml exc c14n gt lt SignatureMethod Algorithm http www w3 0rg 2000 09 xmldsig rsa Snout lt Reference URI Timestamp a13c16e5 4213 43e7 b04d 008316dd4c50 gt lt Transforms gt lt Transform Algorithm http www w3 org 2001 10 xml exc cl4n gt lt Transforms gt lt DigestMethod Algorithm http www w3 org 2000 09 xmldsig shal gt lt DigestValue gt uteJFAlMkFuf8iDrP72cpdZa5AM lt DigestValue gt lt Reference gt lt Reference URI Body 24bb6db5 f863 458e2 85c9 ch75 f92952fe gt lt Transforms gt lt Transform Algorithm http www w3 org 2001 10 xml exc cl4n gt lt Transforms gt lt DigestMethod Algorithm http www w3 org2. 200401 wss username token profile 1 0 PasswordText gt Wev0sX6YsB lt wsse Password gt lt wsse Nonce EncodingType http docs oasis open org wss 2004 01 oasis 200401 wss soap message security 1 0 Base64Binary gt 6EHsL 17jzY1hVdlu2ntLOg lt wsse Nonce gt lt wsu Created gt 2014 01 31T13 13 23 9212 lt wsu Created gt lt wsse UsernameToken gt lt wsse Security gt lt soapenv Body gt lt prot sucheMvpProtokoll gt lt suchkriterien gt lt prot meldezeitpunktVon gt 2014 07 01T00 00 00 0 lt prot meldezeitpunktVon gt lt prot meldezeitpunktBis gt 2014 07 02T00 00 00 0 lt prot meldezeitpunktBis gt lt prot verfahrenId gt EFT lt prot verfahrenId gt lt prot verfahrenId gt T_EFT lt prot verfahrenId gt lt suchkriterien gt lt prot sucheMvpProtokoll gt lt soapenv Body gt lt soapenv Envelope gt This query involves the protocols for all messages for the EFT and T_EFT procedures submitted between 01 07 2014 00 00 00 0 and 02 07 2014 00 00 00 0 3 3 2 Retrieving response messages The MVP protocol also contains response messages created during processing of the messages submitted Depending on the procedure a response message can consist of text and or a feedback file Since capacity is limited the protocol search result does not contain the contents but only the text and metadata of the feedback file name type and size of the file Below is a more detailed descripti
3. lt out bezeichnungen sprache de gt lt out verfahren gt Hinterlegung endg Angebot sbedingungen lt out verfahren gt lt out haftungsgeber gt Testbank Aktiengesellschaft D sseldorf lt out haftungsgeber gt lt out einreichung gt Hinterlegung endg Angebot sbedingungen lt out einreichung gt lt out status gt In Verarbeitung lt out status gt lt out meldeweg gt Webservice lt out meldeweg gt lt out bezeichnungen gt lt out bezeichnungen sprache en gt lt out verfahren gt Filing of Final Terms lt out verfahren gt lt out haftungsgeber gt Testbank Aktiengesellschaft D sseldorf lt out haftungsgeber gt lt out einreichung gt Filing of a Final Terms lt out einreichung gt Federal Financial Supervisory Authority Page 19 lt out status gt Processing lt out status gt lt out meldeweg gt Web service lt out meldeweg gt lt out bezeichnungen gt lt out meldung gt lt out meldung meldungId 17651 gt lt out meldezeitpunkt gt 2014 07 16T16 10 55 206 02 00 lt out meldezeitpunkt gt lt out verfahrenId gt EFT lt out verfahrenId gt lt out haftungsgeberId gt hg_03_2345678901 lt out haftungsgeberId gt lt out einreichungId gt T_EFT lt out einreichungld gt lt out statusId gt rejected_content lt out statusId gt lt out meldewegId gt fms lt out meldewegId gt lt out dateiname gt testl pdf lt out dateiname gt lt out rueckmeldung gt
4. Asterisk for any sequence of zero or more characters All of the search parameters are optional minOccurs equals 0O The operator OR is used for queries involving identical search parameters that are used several times the operator AND is used for queries involving several different search parameters Example lt prot meldezeitpunktVon gt 2014 07 01T00 00 00 0 lt prot meldezeitpunktVon gt lt prot verfahrenId gt VA lt prot verfahrenId gt lt prot verfahrenId gt T_VA lt prot verfahrenId gt The results of this query are the protocols of all messages submitted on or after 01 07 2014 00 00 00 0 and for the specialised procedures VA insurance supervision or T_VA Test insurance supervision The following example shows a syntactically correct message for protocol searches lt soapenv Envelope xmlns soapenv http schemas xmlsoap org soap envelope xmlns prot http www bafin de mvp protokoll gt lt soapenv Header gt lt wsse Security soapenv mustUnderstand 1 xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity werliey 1 0 2x8e gt lt wsse UsernameToken wsu Id UsernameToken 1 gt lt wsse Username gt karl meier1234 lt wsse Username gt Federal Financial Supervisory Authority Page 14 lt wsse Password Type http docs oasis open org wss 2004 01 oasis
5. 2000 09 xmldsig shal gt lt DigestValue gt 8y6za A2w1T n61HCZyozmTL9xs lt DigestValue gt lt Reference gt lt SignedInfo gt lt SignatureValue gt w3du99YENznhPYfQ7hO9W9xkQCWRAxS 91 FqY99OKKbDEY RT57PbrmExAgTTtF lt SignatureValue gt lt KeyInfo gt lt wsse SecurityTokenReference xmlns gt lt wsse Reference URI SecurityToken 52da2d20 382 f 4b8a 8e0 d4a070d8e7e1 ValueType http docs oasis open org wss 2004 01 oasis 200401 wss x509 token profile 1 0 X509v3 gt lt wsse SecurityTokenReference gt lt KeyInfo gt lt Signature gt lt wsse Security gt lt soap Header gt lt soapenv Body wsu Id Body 24bb6db5 863 45e2 85c9 cbh75 92952fe xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity utilicy L 0 zati lt eft submitResponse gt lt meldungsId gt 103707 lt meldungsId gt lt meldezeitpunkt gt 2014 09 12T14 42 42 2702 lt meldezeitpunkt gt lt kundenreferenz gt RE_A23_0156 lt kundenreferenz gt lt eft submitResponse gt lt soapenv Body gt lt soapenv Envelope gt Federal Financial Supervisory Authority Page 10 Please note In the future the procedures will feature the customer reference and digital signature in the Web Service response from the beginning All existing procedures will be adapted step by step to include the customer reference and digital signature These enhancements have not been scheduled yet bu
6. The endpoint of the Web Service interface used to retrieve the protocol is https portal mvp bafin de 444 services ws protokoll To download interface descriptions and the associated XSD files add wsdl to the URLs listed above e g https portal mvp bafin de 444 services ws nlp wsdl Please make sure to use the relevant XSDs which can be downloaded here the respective XSDs are linked in the WSDL file https portal mvp bafin de 444 services ws protokoll xsdi xsd https portal mvp bafin de 444 services ws protokoll xsd2 xsd 3 2 Authentication Users are required to provide authentication by using a WS Security header in line with OASIS Standard 200401 WSS UsernameToken Profile 1 0 specifications Federal Financial Supervisory Authority Page 12 e wsse Security o wsse UsernameToken wsse Username User name for registration on the MVP Portal wsse Password Password for registration on the MVP Portal The following example shows a valid header lt wsse Security soap mustUnderstand 1 xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd gt lt wsse UsernameToken wsu Id UsernameToken 1 xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity utility 1 0 xsd gt lt wsse Username gt karl meier1234 lt wsse Username gt lt wsse Password Type http docs oasis open org wss 2004 01 oasis 200401 wss username t
7. gt lt out rueckmeldung gt lt out bezeichnungen sprache de gt lt out verfahren gt Hinterlegung endg Angebot sbedingungen lt out verfahren gt Federal Financial Supervisory Authority Page 20 lt out haftungsgeber gt Testbank Aktiengesellschaft D sseldorf lt out haftungsgeber gt lt out einreichung gt Hinterlegung endg Angebotsbedingungen lt out einreichung gt lt out status gt Meldung akzeptiert lt out status gt lt out bezeichnungen gt lt out bezeichnungen sprache en gt lt out verfahren gt Filing of Final Terms lt out verfahren gt lt out haftungsgeber gt Testbank Aktiengesellschaft D sseldorf lt out haftungsgeber gt lt out einreichung gt Filing of a Final Terms lt out einreichung gt lt out status gt Report accepted lt out status gt lt out bezeichnungen gt lt out meldung gt lt suchergebnis gt lt out sucheMvpProtokollResponse gt lt soapenv Body gt lt soapenv Envelope gt 3 4 2 Results of retrieving the responses For each of the messages found the response search result contains metadata and has a repetitive structure The responses identified in the search result are arranged by the time of submission in chronological order responses to the latest messages first The following information is transmitted in each of the responses identified in the search result Field name Field type Mandatory Field description field meldungId text string Free t
8. 2 lt wsu Expires gt lt wsu Timestamp gt lt wsse BinarySecurityToken wsu Id SecurityToken 42c4blel1 4614 4d0b 9077 8a357a39156a EncodingType http docs oasis open org wss 2004 01 oasis 200401 wss soap message security 1 0 Base64Binary ValueType http docs oasis open org wss 2004 01 oasis 200401 wss x509 token profile 1 0 xX509v3 xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity DHE at Laer 1 0 xsd gt MIITEZDCCA0ygAwI BAgIEMxvUDDANBgkgqhkiG9w0BAQUFADB9MOswCOYDVQQGEWJERTEP lt wsse BinarySecurityToken gt lt Signature xmlns http www w3 org 2000 09 xmldsig gt lt SignedInfo gt lt CanonicalizationMethod Algorithm http www w3 org 2001 10 xml exc c14n gt lt SignatureMethod Algorithm http www w3 0rg 2000 09 xmldsig rsa shal gt lt Reference URI Timestamp aecb8c38 c696 44cf bc29 21b0f67453fc gt lt Transforms gt lt Transform Algorithm http www w3 org 2001 10 xml exc cl4n gt lt Transforms gt lt DigestMethod Algorithm http www w3 org 2000 09 xmldsig shal gt lt DigestValue gt TXno FvXamVrx LmamOZ dwEgBI lt DigestValue gt lt Reference gt lt Reference URI Body 84ceb042 01cc 4Ad2f 8bba 74alaf2f9fee gt lt Transforms gt lt Transform Algorithm http www w3 org 2001 10 xml exc cl4n gt lt Transforms gt lt DigestMethod Algorithm http www w3 org 2000 09 xmldsi
9. 890 lt out text gt lt out datei groesse 550 typ txt name FDB_Test0l txt gt UESDBBOAAgAIAPSLCOKmb1lpZrwYAAEMN lt out datei gt lt out rueckmeldung gt lt out rueckmeldung meldungId 1003 gt lt out text gt Notification successful processed lt out text gt lt out rueckmeldung gt lt suchergebnis gt lt out sucheMvpRueckmeldungResponse gt lt soapenv Body gt lt soapenv Envelope gt
10. 8derv e Notification of the announcement pursuant to sections 37v y WpHG TUG https portal mvp bafin de 444 services ws tu e KUSTA DTB KUSTA_DTB https portal mvp bafin de 444 services ws kusta e Notifications section 30c WpHG P30cWPHG https portal mvp bafin de 444 services ws p30cwphg e Notifications section 30e WpHG P30eWPHG https portal mvp bafin de 444 services ws p30ewphg e Notifications section 15 WpHG P15WPHG https portal mvp bafin de 444 services ws p15wphg e Submission Prospectuses WpPG VermAnIG VP https portal mvp bafin de 444 services ws vp e Outstanding transactions under Article 15 2 Regulation EU No 149 2013 EMIR15 https portal mvp bafin de 444 services ws emir15 Every procedure offered by BaFin has its own test procedure You can use these test procedures to submit test notifications Such test notifications are intended to identify possible sources of errors ahead of time so that errors can be remedied before the actual notifications are submitted The test procedures also have their own Web Service interfaces which can be recognised by the prefix t_ see example for NLP below https portal mvp bafin de 444 services ws t_nlp To download interface descriptions and the associated XSD files add wsdl to the URLs listed above e g https portal mvp bafin de 444 services ws nlp wsdl Please make sure to use the relevant XSDs which can be downlo
11. Documentation Hel Notification requirement Logout For more information on this topic please refer to the documentation 2 3 Example of a syntactically correct SOAP message A syntactically correct message for the notification procedure Register of net short positions NLP is shown below lt soapenv Envelope xmlns soapenv http schemas xmlsoap org soap envelope xmlns net http www bafin de mvp nettoleerverkauf xmlns nlp http www bafin de mvp nlp gt lt soapenv Header gt lt wsse Security soapenv mustUnderstand 1 xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd gt lt wsse UsernameToken wsu Id UsernameToken 1 xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity werlaey i 0 xSc gt lt wsse Username gt karl meier1234 hq_05_1234567890 lt wsse Username gt lt wsse Password Type http docs oasis open org wss 2004 01 oasis 200401 wss username token profil 1 0 PasswordText gt Wev0sX6YsB lt wsse Password gt lt wsse UsernameToken gt lt wsse Security gt lt soapenv Header gt lt soapenv Body gt lt net sendeMeldungEU gt lt nlpMeldung gt lt 1 to 2000 repetitions gt lt nlp nlpAkt gt lt nlp meldedatum gt 2012 11 21 lt nlp meldedatum gt lt nlp isin gt DE0005557508 lt nlp isin gt lt nlp emittent gt Deutsche Telekom AG lt nlp emittent gt lt nlp positionsdatu
12. Supervisory Authority Federal Financial oo BaFin Reporting and Publishing Platform MVP Portal SOAP Web Service 30 October 2014 Federal Financial Supervisory Authority Page 2 Contents amp 0 113 1 5 SPPFERFSFERFERRPERTFERRFEERFERNBESEFERFFEFFERFEELEFERFEEERFERFEEREFERRFFLEFERNEEHEFERRSEREFERBETERFERRFFERFERN 2 1 SOAP Web SenviGeeits a ee 3 1 1 REGUIFENENES A le nen an nn aan an Rain nenn Den RAD ER Re m NH IR En nt wR Aa 3 152 Configuration imsar a ebenen 3 2 SOAP Web Service Submitting a notification erserseneen sense een nun nun ann nun nun nennen nennen 3 2 1 Accessing the Web Service nun 3 2 2 A thentication 2 een Mee vbeeee sted eee ava erate eee eee 5 2 3 Example of a syntactically correct SOAP message zusenseneenennnnnnnnnnnnnnnnnn nennen 6 2 4 Procedures requiring attachments cceeee cece eee eee e une nn une e eee eee nun ern 7 2 5 Response from the Web Service unennennennennennennnnnnnennennennnnnennnnn nun nun nun nennen nenne 8 3 SOAP Web Service retrieving the protoCOl er2usseneen een een en none nennen nn nun nennen nennen 11 3 1 Accessing the Web Servicen nn sne ne en ecke 11 3 2 A thentication aromi oaa aa a a aa a a a a cena anes 11 3 3 Web Service request nensennnnnnnnnnnnnnnnnnnnennennennnnnnn nenne nnnnnnnnnnnnnnnnnnnnnnnnnne nenn 12 3 3 1 Protocol search ana einen 12 3 3 2 Retrieving response MESSAGES usnesnennennennennnnnnnnnnnnn
13. aded here the example given below is for NLP the respective XSDs are linked in the WSDL file Federal Financial Supervisory Authority Page 5 https portal mvp bafin de 444 services ws nlp xsdi xsd https portal mvp bafin de 444 services ws nlp xsd2 xsd https portal mvp bafin de 444 services ws nlp xsd3 xsd 2 2 Authentication Users are required to provide authentication by using a WS Security header in line with OASIS Standard 200401 WSS UsernameToken Profile 1 0 specifications e wsse Security o wsse UsernameToken wsse Username User name for registration on the MVP Portal followed by and ID of the guarantor entity subject to the notification requirement wsse Password Password for registration on the MVP Portal The following example shows a valid header lt wsse Security soap mustUnderstand 1 xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd gt lt wsse UsernameToken wsu Id UsernameToken 1 xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity utility 1 0 xsd gt lt wsse Username gt karl meier1234 hq_05_1234567890 lt wsse Username gt lt wsse Password Type http docs oasis open org wss 2004 01 oasis 200401 wss username token profile 1 0 PasswordText gt Wev0sX6YsB lt wsse Password gt lt wsse UsernameToken gt lt wsse Security gt For successful authentication three values must be enter
14. e gt lt soapenv Body gt lt soapenv Envelope gt Some procedures support messages containing a customer reference reference provided by the notifying party to facilitate identification of the message by the client In these procedures a positive response from the Web Service transmits not only the message ID but also the time of submission and the customer reference if stated in the SOAP message For reasons of compatibility this extended response is used only if the customer reference is stated in the SOAP message Irrespective of whether a customer reference is transmitted the Web Service response in these procedures is signed digitally by means of the valid server certificate WS Security Header pursuant to OASIS Standard 200401 WSS X 509 Certificate Token Profile 1 0 Example Filing of Final Terms EFT lt soapenv Envelope xmlns soapenv http schemas xmlsoap org soap envelope xmlns eft http www bafin de mvp eft gt lt soap Header xmlns soap http schemas xmlsoap org soap envelope gt lt wsse Security xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd gt lt wsu Timestamp wsu Id Timestamp al3c16e5 4213 43e7 b044 008316d4d4c50 xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity well 0 rc lt wsu Created gt 2014 09 12T14 42 422 lt wsu Created gt lt wsu Expires gt 2014 09 12T14 47 422 lt wsu Expires gt
15. e to use UTF 8 encoding when transmitting data To prevent your notification from being rejected even before SOAP authentication a valid XML structure must also be used Otherwise you will receive a Rejected by Policy error message Every procedure offered by BaFin has its own Web Service interface If the procedure you are looking for is not included in the following list please refer to the information sheet for the respective procedure or contact the support desk to request the endpoint At the moment the following Web Service endpoints are available e Register of net short positions NLP https portal mvp bafin de 444 services ws nlp e Employee and complaints register MBR https portal mvp bafin de 444 services ws mbr e Filing of Final Terms EFT https portal mvp bafin de 444 services ws eft e Register of tied agents VGV https portal mvp bafin de 444 services ws vqv Federal Financial Supervisory Authority Page 4 e Transaction reporting pursuant to section 9 WpHG P9WPHG https portal mvp bafin de 444 services ws p9wph e Notifications section 312 KAGB UCITS P312KAGB https portal mvp bafin de 444 services ws p312kagb e Notifications section 331 KAGB AIF P331KAGB https portal mvp bafin de 444 services ws p331kagb e Insurance Supervision VA https portal mvp bafin de 444 services ws va e Notifications section 38 DerV P38DERV https portal mvp bafin de 444 services ws p3
16. ed highlighted in red in the box above e User name for the MVP Portal e ID of the guarantor entity subject to the notification requirement e Password for the MVP Portal The username and ID of the guarantor must be entered in the UsernameToken field separated by a hash symbol The ID of the guarantor serves to identify the company on behalf which the notification is being submitted You can request this ID on the MVP Portal by logging onto the Portal choosing the menu item Submit notification and selecting the guarantor from the drop down menu displayed next to the notification procedure On the right hand side a blue information box containing the ID highlighted in red will appear Federal Financial BaFin Supervisory Authority Page 6 BaFin Federal Finaneial Supervisory Authority MVP Portal Logged in as karl meier 234 a Submit a report Language Deutsch Specialised procedure To submit large number reports or make automated reports via a web cadi Specialised procedure TEST Filing of Final Terms v service you have to the u identification number for your person entity subject to the General information notification requirement The Registered persons entities subject to the notification requirement identification number of the current Home person entity subject to the Person entity subject to the Bundesanstalt f r Finanzdienstleistungsaufsicht Frankfurt a v Dodsoeertrermrenename nt is
17. en org wss 2004 01 oasis 200401 wss x509 token profile 1 0 xX509v3 xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity iE aL Lave y 1 0 xsd gt MIIEZDCCAOygAwWIBAGgIEMxVUDDANBgkghkiG9wOBAQUFADB9YMOSWCOYDVOOGEWJERTEP lt wsse BinarySecurityToken gt lt Signature xmlns http www w3 org 2000 09 xmldsig gt lt SignedInfo gt lt CanonicalizationMethod Algorithm http www w3 org 2001 10 xml exc c14n gt lt SignatureMethod Algorithm http www w3 org 2000 09 xmldsig rsa shal gt lt Reference URI Timestamp aecb8c38 c696 44cf bc29 21b0f67453 fc gt lt Transforms gt lt Transform Algorithm http www w3 org 2001 10 xml exc cl4n gt lt Transforms gt lt DigestMethod Algorithm http www w3 org 2000 09 xmldsig shal gt lt DigestValue gt TXno FvXamVrx LmamOZ dwEgBI lt DigestValue gt lt Reference gt lt Reference URI Body 84ceb042 01cc 4Ad2f 8bba 74alaf2f9fee gt lt Transforms gt lt Transform Algorithm http www w3 org 2001 10 xml exc cl4n gt lt Transforms gt lt DigestMethod Algorithm http www w3 org 2000 09 xmldsig shal gt lt DigestValue gt 9hJ4WEPHc1G2AE6aud15 kc6tnE lt DigestValue gt Federal Financial Supervisory Authority Page 18 lt Reference gt lt SignedInfo gt lt SignatureValue gt dYPo49LiTC7v fY Lko5hH3yqzzEQbAcvd0MhViolqfWxSvD 18sCPWkGwlCJc lt Signat
18. ext error message in case of an error name string ho Name of feedback file Type of feedback file e g zip Size of feedback file in bytes The following information metadata of the search is transmitted in the search result Field name Field type Mandatory Field description field zeitstempel dar mE Time of query string yes ___ ID of notifying party complexType y Search parameters used in the query The mandatory fields are always part of the search result Other fields are only contained in the search result if the information you are looking for is available for the respective response Federal Financial Supervisory Authority Page 21 The Web Service response is signed digitally by means of the valid server certificate WS Security Header pursuant to OASIS Standard 200401 WSS X 509 Certificate Token Profile 1 0 Example Web Service response search result lt soapenv Envelope xmlns soapenv http schemas xmlsoap org soap envelope xmlns out http www bafin de mvp protokoll gt lt soapenv Header gt lt wsse Security xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd gt lt wsu Timestamp wsu Id Timestamp aecb8c38 c696 44cf bc29 21b0f67453 fc xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity we rliey l 0 xScl gt lt wsu Created gt 2014 09 12T13 31 492 lt wsu Created gt lt wsu Expires gt 2014 09 12T13 36 49
19. g shal gt lt DigestValue gt 9hJ4WEPHc1G2AE6aud15 kc6tnE lt DigestValue gt lt Reference gt Federal Financial Supervisory Authority Page 22 lt SignedInfo gt lt SignatureValue gt dYPo49LiTC7v Y Lko5hH3yqzzEQbAcvd0MhViolqfWxSvD 18sCPWkGwlCJc lt SignatureValue gt lt KeyInfo gt lt wsse SecurityTokenReference xmlns gt lt wsse Reference URI SecurityToken 42c4blel1 4614 4d0b 9077 8a357a39156a ValueType http docs oasis open org wss 2004 01 oasis 200401 wss x509 token profile 1 0 X509v3 gt lt wsse SecurityTokenReference gt lt KeyInfo gt lt Signature gt lt wsse Security gt lt soapenv Header gt lt soapenv Body wsu Id Body 84ceb042 01cc 4Ad2f 8bba 74alaf2f9fee xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity weilaey 1 0 zScl gt lt out sucheMvpRueckmeldungResponse gt lt suchergebnis uid karl meier1234 zeitstempel 2014 09 I2WISs SL 349 35183 7 0253 010112 lt out suchkriterien gt lt out meldungId gt 1003 lt out meldungId gt lt out meldungId gt 1004 lt out meldungId gt lt out meldungId gt 1006 lt out meldungId gt lt out meldungId gt 1024 lt out meldungId gt lt out suchkriterien gt lt out rueckmeldung meldungId 1024 gt lt out rueckmeldung meldungId 1004 gt lt out text gt Invalid value Base Prospectus Prospect ID does not match to the Issuer hq_05_1234567
20. he information provided in the search result regarding the completeness of the search result the attribute eingeschraenkt limited of the element suchergebnis search result should always be evaluated Federal Financial Supervisory Authority Page 17 lt suchergebnis eingeschraenkt true gt The value true means that the result set is too large to list all messages in the search result Therefore the search result is incomplete limited older messages are left out At the moment the result set limit is at 1 000 messages Example Web Services response search result lt soapenv Envelope xmlns soapenv http schemas xmlsoap org soap envelope xmlns out http www bafin de mvp protokoll gt lt soapenv Header gt lt wsse Security xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd gt lt wsu Timestamp wsu Id Timestamp aecb8c38 c696 44cf bc29 21b0f67453 fc xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity werliey 1 0 x8e gt lt wsu Created gt 2014 09 12T13 31 492 lt wsu Created gt lt wsu Expires gt 2014 09 12T13 36 492 lt wsu Expires gt lt wsu Timestamp gt lt wsse BinarySecurityToken wsu Id SecurityToken 42c4blel1 4614 4d0b 9077 8a357a39156a EncodingType http docs oasis open org wss 2004 01 oasis 200401 wss soap message security 1 0 Base64Binary ValueType http docs oasis op
21. lt out text gt Invalid value Base Prospectus not found 12345 lt out text gt lt out rueckmeldung gt lt out bezeichnungen sprache de gt lt out verfahren gt Hinterlegung endg Angebotsbedingungen lt out verfahren gt lt out haftungsgeber gt Testbank Frankfurt am Main lt out haftungsgeber gt lt out einreichung gt Hinterlegung endg Angebotsbedingungen lt out einreichung gt lt out status gt Meldung fehlerhaft lt out status gt lt out meldeweg gt Webformular lt out meldeweg gt lt out bezeichnungen gt lt out bezeichnungen sprache en gt lt out verfahren gt Filing of Final Terms lt out verfahren gt lt out haftungsgeber gt Testbank Frankfurt am Main lt out haftungsgeber gt lt out einreichung gt Filing of a Final Terms lt out einreichung gt lt out status gt Report contains errors lt out status gt lt out meldeweg gt Web form lt out meldeweg gt lt out bezeichnungen gt lt out meldung gt lt out meldung meldungId 17310 gt lt out meldezeitpunkt gt 2014 03 27114 02 24 325 01 00 lt out meldezeitpunkt gt lt out verfahrenId gt EFT lt out verfahrenId gt lt out haftungsgeberId gt hg_05_1234567890 lt out haftungsgeberId gt lt out einreichungId gt EFT lt out einreichunglId gt lt out statusId gt accepted lt out statusId gt lt out dateiname gt wsPDF17310 pdf lt out dateiname gt lt out rueckmeldung gt lt out text gt Notification successful processed lt out text
22. m gt 2012 11 20 lt nlp positionsdatum gt lt nlp anzahlAktien gt 123456789 lt nlp anzahlAktien gt lt nlp gehalteneNlp gt 2 3 lt nlp gehalteneNlp gt zl Oprema gt lt nlp vorherigeMeldungDatum gt 2012 11 15 lt nlp vorherigeMeldungDatum gt Federal Financial Supervisory Authority Page 7 lt l 0pE 1ISmalg gt lt nlp anmerkung gt lt nlp nlpAkt gt lt nlp nlpAkt gt lt nlp meldedatum gt 2012 11 21 lt nlp meldedatum gt lt nlp isin gt DE0007100000 lt nlp isin gt lt nlp emittent gt Daimler AG lt nlp emittent gt lt nlp positionsdatum gt 2012 11 20 lt nlp positionsdatum gt lt nlp anzahlAktien gt 345678912 lt nlp anzahlAktien gt lt nlp gehalteneNlp gt 1 2 lt nlp gehalteneNlp gt lt l 0pE ISmalsg gt lt nlp vorherigeMeldungDatum gt 2012 11 13 lt nlp vorherigeMeldungDatum gt lt I Opr 1Smalg gt lt nlp anmerkung gt lt nlp nlpAkt gt lt nlpMeldung gt lt net sendeMeldungEU gt lt soapenv Body gt lt soapenv Envelope gt 2 4 Procedures requiring attachments Some procedures require submission of attachments mostly as PDF ZIP or GZIP files These binary data are included in the respective interface tag in the form of BASE64 encoded character strings Example Transaction reporting pursuant to section 9 WpHG P9WPHG lt soapenv Envelope xmlns soapenv http schemas xmlsoap org soap envelope xmlns p9w http www bafin de mvp
23. ng information is transmitted in the response messages created during processing of the messages element rueckmeldung Field name Field type Mandatory Field description field text string no Free text error message in case of an error no i name string no Name of feedback file Type of feedback file e g zip Size of feedback file in bytes Since capacity is limited the search result does not contain the contents of the feedback file Please refer to chapter 3 3 2 Retrieving response messages for a more detailed description of the separate Web Service method used to retrieve the contents of the feedback file The following information metadata of the search is transmitted in the search result Field name Field type Mandatory Field description field dateTime yes Information on completeness of search result pls see note below eingeschraenkt boolean suchkriterien complexType Search parameters used in the quer The response search result will contain the search parameters only if they were included in the query in the first place The mandatory fields are always part of the search result Other fields are only contained in the search result if the information you are looking for is available for the respective message The Web Service response is signed digitally by means of the valid server certificate WS Security Header pursuant to OASIS Standard 200401 WSS X 509 Certificate Token Profile 1 0 T
24. nunnan nun nun nun nun nun ann nn 14 3 4 Response from the Web Service unennennennennennnnnnennennenn nn nun nenn nun une nun une n nennen nenn 15 3 4 1 Protocol search results u eusennennennonnonnnn nn nun nun nun nun nun nun nun nun nun nun une SESE SEES 15 3 4 2 Results of retrieving the responses 24 userannnnannnannnnnn nennen nn nennen 20 Federal Financial Supervisory Authority Page 3 1 SOAP Web Service 1 1 Requirements If you would like to submit notifications to the Federal Financial Supervisory Authority Bundesanstalt f r Finanzdienstleistungsaufsicht BaFin in automated form or retrieve the MVP protocol you will need a SOAP compatible web service client You are required to register normally on the MVP Portal of BaFin This is done via the web interface as explained in the general User Manual 1 2 Configuration To submit a notification via the SOAP interface or to retrieve the protocol you must authenticate yourself to the security gateway To do this please provide your username and password The data transfer is protected by SSL encryption When generating Web Service messages please use the Web Service security settings as described in chapter 2 2 for submitting a notification and chapter 3 2 for retrieving the protocol 2 SOAP Web Service submitting a notification 2 1 Accessing the Web Service This chapter explains how to access and use the SOAP Web Service interface Please make sur
25. oken profile 1 0 PasswordText gt WevOsX6YsB lt wsse Password gt lt wsse UsernameToken gt lt wsse Security gt For successful authentication two values must be entered highlighted in red in the box above e User name for the MVP Portal e Password for the MVP Portal Important note The protocol only contains messages submitted by the notifying party named in the WS Security Header 3 3 Web Service request 3 3 1 Protocol search You can search the protocol using the parameters listed below If you do not select any search parameters for your request the response will show all data contained in the messages submitted by the respective notifying party so far The following search parameters are accepted a a pm maon Imeldungd da lint o o roo _ no Message ID ID a ee meldezeitpunktBis date ss Time of submission Time of submission to verfahrenId a a TE Procedure for which the Federal Financial Supervisory Authority Page 13 ______ netification is submitted haftungsgeberId string 100 no Guarantor entity subject to the notification requirement on behalf of which the notification is submitted einreichungId string enum 100 no Report type of notification similar to a form Web Service web form included in the message kundenreferenz string 100 yes Customer reference provided by notifying party Wildcard characters Question mark for a single wildcard character
26. on of the separate Web Service method used to retrieve the contents of the feedback file The query may feature only one or several message IDs as search parameters Criterion Type maxOccurs Wildcard Description meldungId The following example shows a syntactically correct message for retrieving response messages lt soapenv Envelope xmlns soapenv http schemas xmlsoap org soap envelope xmlns prot http www bafin de mvp protokoll gt lt soapenv Header gt lt wsse Security soapenv mustUnderstand 1 xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity medieval O zett gt Federal Financial Supervisory Authority Page 15 lt wsse UsernameToken wsu Id UsernameToken 1 gt lt wsse Username gt karl meier1234 lt wsse Username gt lt wsse Password Type http docs oasis open org wss 2004 01 oasis 200401 wss username token profile 1 0 PasswordText gt Wev0sX6YsB lt wsse Password gt lt wsse Nonce EncodingType http docs oasis open org wss 2004 01 oasis 200401 wss soap message security 1 0 Base64Binary gt 6EHsL 17jzY1hVdlu2ntLOg lt wsse Nonce gt lt wsu Created gt 2014 01 31T13 13 23 9212 lt wsu Created gt lt wsse UsernameToken gt lt wsse Security gt lt soapenv Body gt lt prot sucheMvpRueckmeldung gt lt suchkriterien gt lt
27. p9wphg gt lt soapenv Header gt lt wsse Security soapenv mustUnderstand 1 xmlns wsse http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity secext 1 0 xsd xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity Mealy 0 zac lt wsse UsernameToken wsu Id UsernameToken 1 gt lt wsse Username gt karl meier1234 hgq_05_1234567890 lt wsse Username gt lt wsse Password Type http docs oasis open org wss 2004 01 oasis 200401 wss username token profile 1 0 PasswordText gt Wev0sX6YsB lt wsse Password gt lt wsse UsernameToken gt lt wsse Security gt lt soapenv Header gt lt soapenv Body gt lt p9w submit gt lt p9wphgMeldung gt lt p9w dateiname gt P9WPHG_3214_dateiname gz lt p9w dateiname gt lt p9wphgMeldung gt Federal Financial Supervisory Authority Page 8 lt datei gt UESDBBQAAgAIAPSLcOKmb1lpZrwYAAEMN lt datei gt lt p9w submit gt lt soapenv Body gt lt soapenv Envelope gt 2 5 Response from the Web Service A positive response from the Web Service transmits the message ID lt soapenv Envelope xmlns soapenv http schemas xmlsoap org soap envelope xmlns net http www bafin de mvp nettoleerverkauf xmlns nlp http www bafin de mvp nlp gt lt soapenv Header gt lt soapenv Body gt lt net sendeMeldungResponse gt lt meldungsId gt 103707 lt meldungsId gt lt net sendeMeldungRespons
28. prot meldungId gt 12345 lt prot meldungId gt lt prot meldungId gt 12346 lt prot meldungId gt lt suchkriterien gt lt prot sucheMvpRueckmeldung gt lt soapenv Body gt lt soapenv Envelope gt This query refers to the response messages for the messages with the IDs 12345 and 12346 3 4 Response from the Web Service 3 4 1 Protocol search results For each message found the response search result contains metadata and has a repetitive structure The messages identified in the search result are arranged by the time of submission in chronological order latest submission first The following information is transmitted in each of the messages identified in the search result field meldungId meldezeitpunkt verfahrenId sno a Procedure for which the notification is Zu Field name Field type Mandatory Field description haftungsgeberld string Guarantor party subject of the a notification requirement on behalf of which the notification is submitted a Submission of notification similar to a form type of message no Message status statusId Message status meldewegId string Reporting channel e g Web Service web form Name of the file included in the message Federal Financial ee BaFin Supervisory Authority Page 16 party Response message created during processing of the message bezeichnungen complexType lyes Names of the textual ID values in German and English The followi
29. t the notifying parties will be informed in advance of when they are due to take place At the time of writing October 2014 the following procedures feature the customer reference and digital signature e Employee and complaints register MBR e Filing of Final Terms EFT e Insurance Supervision VA If there are content related errors in the message the Web Service responds with an error message In this example the value for nlp art Notification of a net short position notification after cancellation of a net short position is set to neu instead of m neu w lt env Envelope xmlns env http schemas xmlsoap org soap envelope gt lt env Body gt lt env Fault gt lt faultcode gt DP 0x00230001 lt faultcode gt lt faultstring gt Rejected lt faultstring gt lt datapower details gt lt service gt LiveWeb_NLP_WSP lt service gt lt transaction gt 137859 lt transaction gt lt operation gt services verfahren nlp lt operation gt lt result status ERROR gt lt message gt https portal mvp bafin de 444 services ws t_nlp cvc simple type 1 ele ment http www bafin de mvp nlp art value neu is not a valid instance of the element type lt message gt lt result gt lt datapower details gt lt env Fault gt lt env Body gt lt env Envelope gt If there are structural errors XML validation fails the error message will look like the following example Here
30. the tag nlp nipName is given as nlp nlpName123 lt env Envelope xmlns env http schemas xmlsoap org soap envelope gt lt env Body gt lt env Fault gt lt faultcode gt DP 0x00230001 lt faultcode gt Federal Financial Supervisory Authority Page 11 lt faultstring gt Rejected lt faultstring gt lt datapower details gt lt service gt LiveWeb_NLP_WSP lt service gt lt transaction gt 42593 lt transaction gt lt operation gt services verfahren t_nlp lt operation gt lt result status ERROR gt lt message gt https portal mvp bafin de 444 services ws t_nlp cvc particle 2 1 in element http www bafin de mvp nlp meldepflichtiger of type http www bafin de mvp nlp nlpMeldepflichtiger found amp lt nlp nlpNamel23 gt in namespace http www bafin de mvp nlp but next item should be http www bafin de mvp nlp nlpName lt message gt lt result gt lt datapower details gt lt env Fault gt lt env Body gt lt env Envelope gt 3 SOAP Web Service retrieving the protocol 3 1 Accessing the Web Service This chapter explains how to access and use the SOAP Web Service interface to retrieve the MVP protocol Please make sure to use UTF 8 encoding when transmitting data To prevent your notification from being rejected even before SOAP authentication a valid XML structure must also be used Otherwise you will receive a Rejected by Policy error message
31. ureValue gt lt KeyInfo gt lt wsse SecurityTokenReference xmlns gt lt wsse Reference URI SecurityToken 42c4blel 4614 4d0b 9077 8a357a39156a ValueType http docs oasis open org wss 2004 01 oasis 200401 wss x509 token profile 1 0 X509v3 gt lt wsse SecurityTokenReference gt lt KeyInfo gt lt Signature gt lt wsse Security gt lt soapenv Header gt lt soapenv Body wsu Id Body 84ceb042 0lcc 4d2f 8bba 74alaf2f 9fee xmlns wsu http docs oasis open org wss 2004 01 oasis 200401 wss wssecurity utiliey l 0 zsolt lt out sucheMvpProtokollResponse gt lt suchergebnis eingeschraenkt false uid karl meier1234 zeitstempel 2014 09 12T15 31 49 818 02 00 gt lt out suchkriterien gt lt out verfahrenId gt EFT lt out verfahrenId gt lt out haftungsgeberId gt hg_05_1234567890 lt out haftungsgeberId gt lt out haftungsgeberId gt hg_03_2345678901 lt out haftungsgeberId gt lt out suchkriterien gt lt out meldung meldungId 17745 gt lt out meldezeitpunkt gt 2014 09 11T17 32 45 867 02 00 lt out meldezeitpunkt gt lt out verfahrenId gt EFT lt out verfahrenId gt lt out haftungsgeberId gt hg_05_1234567890 lt out haftungsgeberId gt lt out einreichungId gt EFT lt out einreichungld gt lt out statusId gt processing lt out statusId gt lt out meldewegId gt ws lt out meldewegId gt lt out dateiname gt wsPDF17745 pdf lt out dateiname gt
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