Regulatory Alerts2026-05-26
Overview of Notification and Reporting Requirements for Small and Medium-Sized Investment Firms
The Deutsche Bundesbank issues this overview to detail the notification and reporting obligations applicable to small and medium-sized investment firms under German and EU financial regulations. The document specifies both periodic reporting duties, such as the submission of financial statements and capital adequacy data, and event-driven requirements covering management changes, cross-border activities, and significant shareholdings. It further outlines the specific submission channels, formats, and legal bases for these reports, primarily directing filings to the Bundesbank via electronic systems like NExt and PRISMA.
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