By-laws / Organisation chart / Regulation on fees

   

By-laws

pdf VQF Doc-No. 302.1 (332 KB)

Organisation chart

pdf VQF Doc-No. 601.1 (207 KB)

Regulation on fees

  pdf VQF Doc-No. 1101.5 (938 KB)

 

Procedure

   

The Supervisory Commission Rules of Procedure

  pdf VQF Doc-No. 607.01 (482 KB)

Appendix of the Supervisory Commission Rules of Procedure

 VQF Doc-No. 607.02

Rules of Arbitration

VQF Doc-No. 608.01

Appendix to the Rules of Arbitration

pdf VQF Doc-No. 608.02 (230 KB)

List of arbitrators

  pdf Document (106 KB)

 

Regulations / Rules of conduct 

   
SRO:  
SRO-Regulations valid from 01.01.2016 VQF Doc-No. 400.1.2
SRO-Regulations version of 20.11.2012 pdf VQF Doc-No. 400.1.2 (505 KB)  old
SRO-Regulations version of 08.07.2009 document VQF Doc-No. 400.1.2 (110 KB) old
VQF-Circular 2016/1 Video- and online identification   pdf VQF Doc-No. 400.5 (116 KB)

 

BOVV:  
BOVV-regulations pdf VQF Doc-No. 500.01 (456 KB)
BOVV-Rules of conduct pdf VQF Doc-No. 500.02 (447 KB)
Comment on the BOVV-Rules of conduct pdf VQF Doc-No. 500.03 (276 KB)

 

Information leaflets/VQF-Rundschreiben

Information leaflet for the engagement of third parties for the performance of duties of due dilligence and / or as AMLA Special Department   pdf VQF Doc-No. 912.1 (276 KB)
Information leaflet for issuing internal directives   pdf VQF Doc-No. 913.1 (408 KB)
VQF-Rundschreiben 2016/1
Anwendbarkeit von Regulierung der FINMA bezüglich Video- und Online-Identifizierung
  pdf Document (73 KB)

 

 

Audit concept

   
SRO:  
SRO-Audit concept pdf VQF Doc-No. 700.3 (471 KB)
Criteria Risk Assessment pdf VQF Doc-No. 703.2.2 (455 KB)
Typologylist pdf VQF Doc-No. 905.1 (183 KB)

 

BOVV:  
BOVV-Audit concept pdf VQF Doc-No. 500.20 (496 KB)  

 

Training

   
SRO-Training concept pdf VQF Doc-No. 610.1 (464 KB)
Seminars link to seminars

 

Joining

   
SRO-Membership:  
Instructions application form SRO-Member natural persons pdf VQF Doc-No. 801.2 (373 KB)
Application form SRO-Members natural persons document VQF Doc-No. 901.3 (60 KB)
   
Instructions application form SRO-Member companies pdf VQF Doc-No. 801.3 (235 KB)
Application form SRO-Member companies document VQF Doc-No. 901.1 (62 KB)
Description of current/planned business activities SRO-Membership    document VQF Doc-No. 901.2 (72 KB)

  

SRO-BOVV Membership:  
Instructions application form SRO/BOVV-Member natural persons pdf VQF Doc-No. 201.5 (393 KB)
Application form SRO/BOVV-Member natural person document VQF Doc-No. 201.4 (57 KB)
   
Instructions application form SRO/BOVV-Member companies pdf VQF Doc-No. 201.2 (386 KB)
Application form SRO/BOVV-Member companies document VQF Doc-No. 201.1 (54 KB)
Description of current/planned business activities
SRO/BOVV-Membership 
document VQF Doc-No. 201.3 (60 KB)
Additional VQF-Documents see 
"General documents application / changes"
 

 

BOVV Membership:  
Instructions application form BOVV-Member natural persons and companies pdf VQF Doc-No. 500.12 (371 KB)
Application form BOVV-Member natural persons and companies document VQF Doc-No. 500.11 (57 KB)
Description of current/planned business activities BOVV-Member document VQF Doc-No. 500.14 (70 KB)

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

 

 

Changes:

   
Instructions changes natural persons pdf VQF Doc-No. 805.1 (459 KB)
Instructions changes companies pdf VQF Doc-No. 804.1 (426 KB)
Change of membership status SRO- to SRO/BOVV-member document VQF Doc-No. 500.10 (60 KB)

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

 

 

 

General documents to application / changes:

   
Information about ownership / shareholding document VQF Doc-No. 807.1 (52 KB)
Information about branches, permanent establishments and participations in other companies document VQF Doc-No. 808.1 (53 KB)
Business activity and implementation of the due diligence requirements for applicants in the field of Fintech   document VQF Doc-No. 901.4 (63 KB)
Information about the internal special departement document VQF Doc-No. 907.1 (55 KB)
Mandate concerning access authorisation document VQF Doc-No. 908.1 (52 KB)
Personal declaration   document VQF Doc-No. 906.1 (51 KB)
Information concerning the contact person and authorisation of access for the industry organisation  division document VQF Doc-No. 500.13 (49 KB)

 

AMLA-Standard forms:

   
Identification form document VQF Doc-No. 902.1 (67 KB)
Establishing the identity of the beneficial owner (A) document VQF Doc-No. 902.9 (49 KB)
Establishing of the controlling person (K) document VQF Doc-No. 902.11 (54 KB)
Foundations (as well as similiar contructs) (S) document VQF Doc-No. 902.12 (54 KB)
Declaration for Trust (T)   document VQF Doc-No. 902.13 (55 KB)
Special Clarifications document VQF Doc-No. 902.14 (55 KB)
Risk profile document VQF Doc-No. 902.4 (71 KB)
The Country list VQF Doc-No. 902.4.1 is in the member section under Download  
Customer profile document VQF Doc-No. 902.5 (57 KB)
List of files relevant to the AMLA (Word format)   document VQF Doc-No. 902.8w (54 KB)
List of files relevant to the AMLA (Excel format)   spreadsheet VQF Doc-No. 902.8e (291 KB)

BOVV-Standard forms:

   
Sample contract clames pdf VQF Doc-No. 500.04 (460 KB)
Investment profile document VQF Doc. No. 500.05 (52 KB)
Guide to the investment profile Guide

 

Non-professional Membership:

   
Regulations for non-professional membership   pdf VQF Doc-No. 400.2 (245 KB)
Registration for members only   document VQF Doc-No. 400.3 (51 KB)

 

Passive Membership:

   
Application form document VQF Doc-No.101.1 (55 KB)

 

 

 

 

 


 

 

Please note that only the German version is legally binding.