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Employee and Complaints Register

Notification pursuant to section 87 of the WpHG

Pursuant to section 87 of the WpHG, investment services enterprises are subject to reporting requirements in connection with the work of their employees as investment advisers, sales representatives and compliance officers and in connection with incoming complaints. The notifications are required to be submitted via the MVP Portal. Details on the requirements to be met by the employees as well as on the reporting procedure are set out in the WpHG Employee Notification Regulation (WpHGMaAnzV).

The provisions enter into force in 1 November 2012. Applications for permission to use the reporting and publishing platform and the specialised procedure for the employee and complaints register may be submitted beginning on 1 July 2012. Since a great number of applications are expected and the notifying parties must identify themselves to BaFin, we recommend using the opportunity of advance registration available beginning on 1 July 2012. The specialised procedure itself (production database) is slated to be available beginning on 1 September 2012. As soon as it is possible to submit notifications to the employee and complaints register, this will be announced on BaFin's website. Moreover, we plan to make a beta version of the specialised procedure available beginning in August 2012.

Further details together with manuals, information sheets as well as FAQs are provided in the section employee and complaints register.

Di­rect­ly to MVP-Por­tal

Datenbanken (refer to: Directly to MVP-Portal)

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Contact

  • Questions about the employee and complaints register:

  • Questions concerning the MVP Portal:

    • Please check first whether your question has already been answered in the FAQs about the MVP Portal.
    • If not, please address your enquiry to mvp-support@bafin.de. Please note the references for further information and documentation in the right-hand column.

Contact: Em­ploy­ee and Com­plaints Reg­is­ter
for queries relating to the procedure

E-mail: beraterregister@bafin.de

Contact: MVP Sup­port
for technical questions and problems

E-mail: mvp-support@bafin.de

Additional information

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