Internal Compliance

The Central Compliance Office at BaFin works towards compliance with applicable statutes and other provisions relating to data protection, corruption prevention and sponsoring. To this end, it advises BaFin employees and takes preventative measures. In addition, it approves sideline work and supervises employee transactions in accordance with section 16a of the German Securities Trading Act (WpHG).

Com­pli­ance Of­fi­cer

The compliance officer advises the members of the Executive Board of BaFin on matters related to the rules of good conduct specified in the code of conduct and receives notifications from Executive Board members in accordance with the code of conduct.

Da­ta pro­tec­tion of­fi­cer

At BaFin, the Data Protection Officer works towards compliance with the German Federal Data Protection Act (Bundesdatenschutzgesetz – BDSG) and other data protection provisions. However, he is not responsible for supervision and control of the enterprises supervised by BaFin.

Pre­ven­tion of cor­rup­tion

BaFin places great importance on corruption prevention in order to safeguard the public's confidence in the integrity with which BaFin performs its duties and in order to protect its employees.

BaFin's Spon­sor­ing pol­i­cy

BaFin does not accept any sponsoring – either as sponsor or sponsored party – in order to avoid undermining the confidence in the administration's absolute independence and neutrality.

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