BaFin

News

Sanktionen (refer to: Sanctions)
1

Sanc­tions

The First Act Amending Financial Markets Regulations markedly expanded the list of administrative offences set forth in various legal acts and increased the scope of administrative fines for various types of infringements of the regulations. It also requires BaFin to make fully public the measures it takes and sanctions it imposes.

Pagination

News

Date: 09.08.2016 - Topic Solvency New Solvency II reporting delivers figures for insurance classes for the first time

BaFin has published its findings from the figures reported for the individual classes of insurance for the first time since the new supervisory regime, Solvency II, entered into force on 1 January 2016. More: New Solvency II reporting delivers figures for insurance classes for the first time …

Date: 28.07.2016 - Topic Consumer protection BaFin plans to prohibit retail distribution of credit-linked notes

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) intends to prohibit the marketing, distribution and sale of credit-linked notes (Bonitätsanleihen) to retail clients for reasons of investor protection. To this end, BaFin today published a draft of its proposed General Administrative Act. Comments on the draft may be submitted in writing until 2 September 2016. More: BaFin plans to prohibit retail distribution of credit-linked notes …

Date: 27.07.2016 - Topic FinTech Expert Article: BaFin-Tech 2016 - supervisory authority in dialogue with companies

„Fintech companies increase the diversity of the financial sector.“ This statement by BaFin President Felix Hufeld received much approval at the BaFin-Tech conference on 28 June 2016. More: BaFin-Tech 2016: supervisory authority in dialogue with companies …

Date: 15.07.2016 Annual Report 2015

The Federal Financial Supervisory Authority`s (BaFin) annual report 2015 is published in English. More: Annual Report 2015 …

Publications

Topic Professional suitabilityCheck list of doc­u­ments to be sub­mit­ted (KWG)

Check list of documents to be submitted for notification of an intention to appoint a management board member of an undertaking which is covered by the German Banking Act (Kreditwesengesetz – KWG)

Topic Professional suitabilityCheck list of doc­u­ments to be sub­mit­ted (ZAG)

Check list of documents to be submitted for notification of an intention to appoint a management board member of an undertaking which is covered by the German Payment Services Supervision Act (Zahlungsdiensteaufsichtsgesetz – ZAG)

Topic Professional suitabilityCheck list of doc­u­ments to be sub­mit­ted (KAGB)

Check list of documents to be submitted for notification of an intention to appoint a management board member of an undertaking which is covered by the German Capital Investment Code (Kapitalanlagegesetzbuch – KAGB)

Topic Professional suitabilityPar­tic­i­pat­ing in­ter­ests of man­age­ment board mem­bers (KWG)

Participating interests of management board members and persons actually managing the business of a financial holding company or a mixed financial holding company

Measures

Unau­tho­rised busi­ness

If a company or individual is found to be conducting unauthorised banking, insurance or investment business, BaFin as the supervisory authority has extensive powers to put an end to such business.

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Aufsichtliche Maßnahmen (refer to: Unauthorised business)

Events

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Contacts

Con­sumers

Are you having problems with a bank or an insurance company? Find out more about how to complain and the points of contact.

Ansprechpartner für Verbraucher (refer to: Consumers)

Stay in­formed

Subscribe to our ad-hoc newsletter or our monthly briefing:

Auf dem Laufenden bleiben (refer to: Stay informed)

Quick links

Datenbanken

Databas­es

You can search for companies which hold an authorisation, have passed the EU/EEA notification procedure or have established a representative office in Germany. Other databases include information on investment funds, prospectuses filed and more.

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Stellenangebote

Va­can­cies

In this section potential applicants find an overview of current vacancies and details on the application process. Please note that most of this information is only published in German. Unsolicited applications that are not related to a particular vacancy may not be accepted.

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Ausschreibungen

Calls for ten­der

Calls for tender and tender specifications are only available in German.

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MVP Portal

MVP Por­tal

This service is intended for those providers who would like to meet BaFin's notification, reporting and transmission requirements on the basis of a simple and secure electronic data exchange system or who are required to use the Reporting and Publishing Platform.

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