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Interview with Dr Frank Grund

Frank Grund has been Chief Executive Director of Insurance and Pension Funds Supervision at BaFin since the start of October. In an interview, Grund explains what his first few weeks in the job have been like for him, where he sees the biggest challenges of the coming months, and in what ways his experience from the private sector can be of benefit to him. More : Interview with Dr Frank Grund

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

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Supervision

Aufsicht

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.

Focus

Topics

International

Internationales

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

Supervision in the EU

Consumers

Verbraucher

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.

Complaints & contacts

Consumer information

BaFin

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.

About us

Functions