BaFin - Navigation & Service

Stand:updated on 24.11.2023 | Topic Compliance Information on data processing

The Federal Financial Supervisory Authority (Bundesanstalt für FinanzdienstleistungsaufsichtBaFin) processes personal data to meet its legal and (pre-)contractual obligations.

This also includes data which BaFin collected from you. Below, you will be advised about data processing and your respective rights. BaFin thus complies with its duty to provide information in accordance with Article 13 and Article 14 of the EU General Data Protection Regulation (GDPR).

Act on the Formal Assignment of Responsibilities to Persons Other than Civil Servants
Ad Hoc Disclosures
Administrative proceedings and complaints under the German Payment Accounts Act (ZKG)
Administrative procedures under the Benchmark Regulation
Arbitration Board
Assessment of external appraisers’ compliance with the requirements under the German Investment Code (KAGB) - WA
Assessment of holders of qualifying holdings under the German Investment Code (KAGB) - WA
Assessment of management board members under the German Investment Code (KAGB) - WA
Assessment of representatives under the German Investment Code (KAGB) - WA
Assessment of supervisory board member appointments (KAGB) - WA
assessment of supervisory board members’ compliance with the requirements under the German Investment Code (KAGB) - WA
Assessment of the applicability of the authorisation requirement and enforcement relating to unauthorised business
Assessment of trustees under the German Investment Code - WA
Authorisation procedure under section 32 (1) of the German Banking Act
BaFin website: newsletter and protected areas
Central Procurement Division
Complaints under the German Payment Accounts Act (ZKG)
Contact Point for Whistleblowers
Cooperation within the College of Supervisors
Data processing for managers’ transactions
Data processing for market maker and primary dealer activities
Derivative - EMIR - Applications for exemption from the requirements of Article 11(3) of EMIR
Derivative - EMIR - Applications for exemption from the requirements of Article 15(2) of Delegated Regulation (EU)
Derivative - EMIR - Exemption from the clearing obligation
Derivative - EMIR - Exemption from the clearing obligation (EU context)
Derivative - EMIR - Notifications in accordance with Article 10(1)(a) and (b) and (2) of EMIR and section 31 of the German Securities Trading Act
Enquiries from private individuals under the German Insurance Supervision Act
Event Organisation (external and internal attendees)
Fee debtor’s statement on their financial situation
Fit and proper assessment of members of the management board (WA)
General complaints - WA
General enquiries - WA
Group visits
Information concerning personal data
Information on data processing for notifications of major holdings
Information on data processing for registration for the update notification service regarding major holdings reporting
International bodies (contact lists, organisational charts, applications for positions)
IOSCO Administrative Arrangement
Job application and selection procedures
Net short positions in shares and sovereign debt
Processing of applications for authorisation
Qualifying holding procedures (WA)
Reporting and Publishing Platform (MVP Portal)
Reporting of suspicious transactions relating to the ban on uncovered short sales
Requests from abroad for administrative assistance (e.g. Fit & Proper procedures)
supervision of violations of statutory provisions, notices of hearing, requests for information and documentation - WA 2
Suspicious transaction and order reports by foreign authorities (MAR)
WpÜG - general supervision of violations of statutory provisions; request for information and documentation
WpÜG - non-consideration of voting rights and exemption from the duty to make an offer
WpÜG - offer procedures
WpÜG - publication of the decision to make an offer / attainment of control

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