Money laundering prevention - notification of outsourcing of internal safety measures

• Obliged parties according to the Money Laundering Act www.gesetze-im-internet.de/gwg_2017/__2.html Only natural or legal persons who are active as: • 1. financial enterprises • 2. insurance intermediaries domiciled abroad, insofar as they maintain branches in Germany • 3. service providers for companies and for trust assets or trustees, if they provide the services specified in § 2 section 1 no. 13 GwG to third parties • 4. real estate agents • 5. bookmakers • 6. casinos • 7. operator of a betting agency • 8. commodity dealers, art brokers and art warehouse keepers, insofar as the warehousing takes place in duty-free zones are authorised to apply. • Power of representation The person making the notification must be a member of the management or an internal/external (group) money laundering officer of the company. The legal counsel of the obliged person may also make the report upon presentation of the original power of attorney and designation of the subject matter. • Suitability of the third party www.gesetze-im-internet.de/gwg_2017/__6.html The third party must meet the following criteria to perform the internal safety measures: • be sufficiently qualified and reliable, • guarantee that the safety measures will be implemented properly, and • outsourcing must not affect the obliged party’s control options and the supervisory authority’s monitoring activities. • For online applications: registration/login via BundID service.berlin.de/nutzerkonten/bundid/ To submit your application online, log in with your BundID account. If you do not yet have a BundID account, please register with BundID. The basic registration with a user name and password is sufficient for this.

• Notification of the intention to outsource internal safety measures • The application is possible in text form, please use the online procedure as a preferred option. • In your notification you must explain plausibly that the third party is qualified and specify the measures you want to outsource. • Evidence of authorisation to notify • Proof of appointment as (group) money laundering officer or • Contract on the outsourcing of internal security measures or • Evidence that the person making the report is a member of the management level of the company (e.g. extract from the commercial register or shareholders' agreement) or • If applicable, an original mandate of the representing legal counsel related to the individual case. • Evidence of the third party’s qualification The third party must be sufficiently qualified for performing the safety measures. They must present: • their curriculum vitae detailing their professional activities in tabular form, and • confirmation of participation or certificates for attended training courses or similar qualification measures. • Certificate of good conduct for presentation to an authority service.berlin.de/dienstleistung/120926/ To verify personal reliability, information from the Federal Central Register (certificate of good conduct) is required for submission to an authority (document type O). • The information must not be older than three months. • When applying, please state "Auslagerung interner Sicherungsmaßnahmen nach GwG anzeigen" as the purpose of use. The receiving authority for the proof is the respective supervisory authority named under "competent authorities"; you will find the current addresses there. • Excerpt from the central business register for presentation to an authority service.berlin.de/dienstleistung/327835/ To verify personal reliability, information from the central business register is required for submission to an authority (document type 9). • The information must not be older than three months. • When applying, please state "Auslagerung interner Sicherungsmaßnahmen nach GwG anzeigen" as the purpose of use. The receiving authority for the proof is the respective supervisory authority named under "competent authorities"; you will find the current addresses there. • Contract with the third party Copy of the contract concluded with the third party to which the safety measures are to be outsourced. • Up to date excerpt from the Trade Register, if applicable www.handelsregister.de/rp_web/normalesuche.xhtml Registered companies are required to submit an up to date excerpt from the Trade Register when applying. Legal entities that are in the process of being established (GmbH, AG) are required to submit their partnership agreement or statutes.

• none • 138.00 to 1,380.00 euros, per effort, in case of prohibition of outsourcing by the supervisory authority

• Money Laundering Act (Geldwäschegesetz or GwG) - notification duty § 6 section 7 sentence 1 www.gesetze-im-internet.de/gwg_2017/__6.html • Money Laundering Act (Geldwäschegesetz or GwG) - prohibition § 6 section 7 sentence 2 www.gesetze-im-internet.de/gwg_2017/__6.html • Schedule of Administrative Fees (Verwaltungsgebührenordnung (VGebO)) <https://gesetze.berlin.de/jportal/?quelle=jlink&query=VwGebO+BE&psml=bsbeprod.psml&max=true>

• Information about prevention of money laundering by the Senate Department for Economics www.berlin.de/sen/wirtschaft/wirtschaftsrecht/geldwaesche/ar • Customer due diligence duties www.berlin.de/sen/wirtschaft/wirtschaftsrecht/geldwaesche/so • Fact sheet: Risk-based organisational measures www.berlin.de/sen/wirtschaft/wirtschaftsrecht/geldwaesche/20 • Casinos: Gambling Supervision at the Senate Department of the Interior www.berlin.de/sen/inneres/buerger-und-staat/weitere-themen/g • Basic Information Money Laundering Act for Obligated Persons in the Gambling Sector of the LABO www.berlin.de/labo/_assets/buergerdienste/20190311-basisinfo • Notes on the interpretation and application of the Money Laundering Act (AMLA) www.berlin.de/labo/_assets/buergerdienste/20190204_aua-gwg-g • First National Risk Analysis www.bundesfinanzministerium.de/Content/DE/Downloads/Broschue • Central Office for Financial Transaction Investigations (FIU) www.zoll.de/DE/FIU/fiu_node.html