VQF Financial Services Standards Association

VQF Downloads

GuideDocuments to download

 

By-laws / Organisation chart / Regulation on fees
By-laws VQF Doc-No. 302.1
Organisation chart VQF Doc-No. 601.1
Regulation on fees VQF Doc-No. 1101.5

 

 

Regulations / Rules of conduct
SRO:
SRO-Regulations version of 08.07.2009 VQF Doc-No. 400.1.2
SRO-Regulations version of 18.06.2007 VQF Doc-No. 400.1.2 old
SRO-Regulations version of 16.03.2005 VQF Doc-No. 400.1.2 old
SRO-Regulations version of 24.11.2003 VQF Doc-No. 400.1
Comment on the SRO-regulations VQF Doc-No. 400.1.3

 

 

BOVV:
BOVV-regulations VQF Doc-No. 500.01
BOVV-Rules of conduct VQF Doc-No. 500.02
Comment on the BOVV-Rules of conduct VQF Doc-No. 500.03

 

 

Audit concept

SRO:  
SRO-Eudit concept VQF Doc-No. 700.3
Typologylist VQF Doc-No. 905.1

 

 

BOVV:

BOVV-Audit concept  VQF Doc-No. 500.20
Risk assessment criteria

VQF Doc-No. 703.2.2

 

 

Training
SRO-Training concept VQF Doc-No. 610.1

Training programme 2012/2013

 VQF Doc-No. 610.2
Seminars link to seminars

 

 

Joining

SRO-Membership: 
Application form SRO-Member natural persons VQF Doc-No. 901.3
Instructions application form SRO-Member natural persons VQF Doc-No. 801.2
Application form SRO-Member companies VQF Doc-No. 901.1
Instructions application form SRO-Member companies VQF Doc-No. 801.3
Description of current/planned business activities SRO-Membership VQF Doc-No. 901.2

! Additional VQF-Documents see
"General documents application / changes"

 

 

SRO-BOVV-Membership:
Application form SRO/BOVV-Member natural persons VQF Doc-No. 201.4
Instructions application form SRO/BOVV-Member natural persons VQF Doc-No. 201.5
Application form SRO/BOVV-Member companies VQF Doc-No. 201.1
Instructions application form SRO/BOVV-Member companies VQF Doc-No. 201.2
Description of current/planned business activities SRO/BOVV-Membership VQF Doc-No. 201.3

! Additional VQF-Documents see
"General documents application / changes"

 

 

BOVV-Membership:
Application form BOVV-Member natural persons and companies VQF Doc-No. 500.11
Instructions application form BOVV-Member natural persons and companies VQF Doc-No. 500.12

! Additional VQF-Documents see
"General documents application / changes"

 

 

Changes
Instructions changes natural persons VQF Doc-No. 805.1
Instructions changes companies VQF Doc-No. 804.1
Change of membership status SRO- to SRO/BOVV-member VQF Doc-No. 500.10

! Additional VQF-Documents see
"General documents application / changes"

 

 

General documents to application / changes
Signature page VQF Doc-No. 806.1
Information about ownership / shareholding VQF Doc-No. 807.1
Information about the internal special departement VQF Doc-No. 907.1
Detail of the person responsible for the AMLA VQF Doc-No. 910.1
Mandate concerning access authorisation VQF Doc-No. 908.1
Company declaration VQF Doc-No. 906.2
personal declaration VQF Doc-No. 906.1
Checklist for internal guidelines VQF Doc-No. 1108.1
Sample internal guidelines VQF Doc-No. 1108.2
Information concerning the contact person and authorisation of access for the industry organisation  division VQF Doc-No. 500.13

 

 

Non-professional Membership
Regulations for non-professional membership VQF Doc-No. 400.2
Application non-professional membership VQF Doc-No. 400.3
Application for non-professional membership after admission
(including submission of other documents listed under "Jonining" heading)		 VQF Doc-No. 400.4

 

 

Passive Membership
Application form VQF Doc-No. 100.1
Declaration of agreement VQF Doc-No. 100.2

 

 

AMLA-Standard forms
Identification form VQF Doc-No. 902.1
Risk profile VQF Doc-No. 902.4
Instructions risk profile Instructions
List of countries VQF Doc-No. 902.4.1
Customer profile - general VQF Doc-No. 902.5
Customer profile for trust relationship VQF Doc-No. 902.6
Ongoing business relationship VQF Doc-No. 902.7
Establishing the identity of the beneficial owner VQF Doc-No. 902.9
Declarations for foundations, trusts and other associations/asset funds with no dessignated beneficial owner(s) VQF Doc-No. 902.10
List of files relevant to the AMLA (Word format) VQF Doc-No. 902.8w
List of files relevant to the AMLA (Excel format) VQF Doc-No. 902.8e

 

 

BOVV-Standard forms
Sample contract clames VQF Doc-No. 500.04
Investment profile VQF Doc. No. 500.05
Guide to the investment profile Guide

 

 

Please note that only the German version is legally binding.