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Securities compliance

If you type "compliance" into Google, you get more than 350 million hits. Googling "securities compliance" yields just over 109,000 results. This relatively low number, however, is deceptive: nowhere has compliance been in the spotlight for longer than in the securities business and nowhere is it more regulated. More : Securities compliance

BaFin and the SEC

The Federal Financial Supervisory Authority is often compared to the U.S. Securities and Exchange Commission (SEC) in the media and by the public. The SEC is frequently perceived as the more powerful authority. More : BaFin and the SEC

Interest rate derivatives

On 6 August the European Commission adopted a draft of a delegated regulation. It will force all companies in the financial sector and larger companies from the real economy to clear certain interest rate derivatives through a clearing house (central counterparty). More : Interest rate derivatives

Product intervention

For a few months now, BaFin has been able to restrict or even prohibit financial instruments, structured deposits or financial activities and practices if these present a significant investor protection concern or a threat to the stability or integrity of the financial system or financial markets. More : Product intervention

Insurance distribution

The European Commission, Council and Parliament agreed on a new Insurance Distribution Directive at the end of June. The Directive regulates the entire distribution chain. It therefore applies to all distributors of insurance contracts, not just brokers and tied insurance intermediaries but direct distribution by insurance undertakings as well. More : Insurance distribution



Here you will find topics such as the authorisation of banks and insurance undertakings, risk management or bans on short selling as well as information on investments, prospectuses, capital requirements and anti-money laundering.



Find out here about the European supervisory structure, international regulation through Solvency II and Basel III, the stress tests and surveys carried out at the EU level and BaFin’s global and bilateral cooperation activities.

International bodies



We answer frequently asked questions and provide you with information on key consumer issues such as investment here. You will also find details of who to complain to and contacts if you are having problems with a company or undertaking.


Die BaFin

If you have any questions about BaFin itself, you can find out here about the functions and history of BaFin, how it is funded, job vacancies and media contacts. You will also find further details on the executive and staff.