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IOSCO (refer to: International securities regulation - IOSCO overhauls international standards)
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In­ter­na­tion­al se­cu­ri­ties reg­u­la­tion - IOSCO over­hauls in­ter­na­tion­al stan­dards

The International Organization of Securities Commissions (IOSCO) has revised its Principles of Securities Regulation and its Methodology for Assessing Implementation of these. In a lengthy process, IOSCO examined whether the standards adequately took into consideration changes on …

The International Organization of Securities Commissions (IOSCO) has revised its Principles of Securities Regulation and its Methodology for Assessing Implementation of these. In a lengthy process, IOSCO examined whether the standards adequately took into consideration changes on the securities markets and in their regulation.

Pagination

Pagination

News

Date: 20.07.2017 - Topic Governance Authorisation procedure: BaFin publishes guidance notice on banking business

What are the requirements that credit institutions have to meet if they wish to apply for authorisation to conduct banking business pursuant to sections 32 and 33 of the German Banking Act (Kreditwesengesetz – KWG) in conjunction with section 14 of the German Reports Regulation (Anzeigenverordnung – AnzV)? To answer this question, BaFin has now published a guidance notice, in particular in view of the forthcoming Brexit process. More: Authorisation procedure: BaFin publishes guidance notice on banking business …

Date: 20.07.2017 Annual Report in English: HTML version published

The English version of BaFin’s 2016 Annual Report is now also available in HTML format for the first time. More: Annual Report in English: HTML version published …

Date: 02.06.2017 - Topic Investment funds Brexit: BaFin workshop for the asset management sector

Collective asset managers and investment funds considering relocating to Germany can find out about BaFin's administrative and supervisory practice in Frankfurt am Main on 27 June. More: Brexit: BaFin workshop for the asset management sector …

Date: 15.05.2017 - Topic Market manipulation Southern Lithium Corp.: BaFin warns of buy recommendations for shares

According to information available to the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin), buy recommendations are currently being issued for shares in Southern Lithium Corp. (ISIN: CA8433031082) on a large scale via e-mail newsletters. More: Southern Lithium Corp.: BaFin warns of buy recommendations for shares …

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Measures

Date: 07.07.2017 - Topic Measures Electrawinds SE: BaFin threatens coercive fines

On 29 June 2017 BaFin ordered Electrawinds SE to comply with the financial reporting requirements pursuant to sections 37v et seq. of the Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and threatened coercive fines in the amount of EUR 230,000. More: Electrawinds SE: BaFin threatens coercive fines …

Date: 05.07.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Agennix AG

On 6 September 2016, the Federal Office of Justice (Bundesamt für Justiz - BfJ) imposed a disciplinary fine amounting to 12,500 euros against Agennix AG. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Agennix AG …

Date: 20.06.2017 - Topic Measures East-West Assekuranz AG: BaFin files petition to open insolvency proceedings

On 14 June 2017 the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) filed a petition to open insolvency proceedings for the assets of East-West Assekuranz AG at the Local Court (Amtsgericht) of Charlottenburg (Berlin). The management board had earlier notified BaFin of the insurer's overindebtedness pursuant to section 311 (1) sentence 2 of the German Insurance Supervision Act (Versicherungsaufsichtsgesetz – VAG). More: East-West Assekuranz AG: BaFin files petition to open insolvency proceedings …

Su­per­vi­so­ry mea­sures

BaFin has extensive powers to put an end to unauthorised banking, insurance or investment business. It can also adopt measures against supervised banks, insurers and investment companies.

Aufsichtliche Maßnahmen (refer to: Supervisory measures)
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New documents

Format:Guidance Notice Erscheinungfrom 20 July 2017Topic GovernanceAU­THO­RI­SA­TION AS A CRED­IT IN­STI­TU­TION

Authorisation as a credit institution

Format:Statistics/List Erscheinungfrom 16 June 2017Stand, updated on 19.05.2017Topic BaFin Or­gan­i­sa­tion chart of the Fed­er­al Fi­nan­cial Su­per­vi­so­ry Au­thor­i­ty

Organisation chart of the Federal Financial Supervisory Authority

Format:Publication Erscheinungfrom 9 May 2017An­nu­al Re­port 2016

BaFin Annual Report 2016

Format:Order/decree Erscheinungfrom 8 May 2017Topic Consumer protectionGen­er­al Ad­min­is­tra­tive Act re­gard­ing CFDs

Announcement of the General Administrative Act of the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) pursuant to section 4b (1) of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) regarding contracts for differences ("CFDs") under section 41 (3) and (4) of the German Administrative Procedure Act …

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Contacts

Con­sumers

Are you having problems with a bank or an insurance company? Find out more about how to complain and the points of contact.

Ansprechpartner für Verbraucher (refer to: Consumers)

Com­pa­nies

Ansprechpartner für Unternehmen (refer to: Companies)

Jour­nal­ists

Ansprechpartner für Medien (refer to: Journalists)

For whistle­blow­ers

BaFin receives disclosures about actual or suspected violations of supervisory provisions.

Whistleblower (refer to: For whistleblowers)
More Contact options:

Quick links

Datenbanken

Databas­es

You can search for companies which hold an authorisation, have passed the EU/EEA notification procedure or have established a representative office in Germany. Other databases include information on investment funds, prospectuses filed and more.

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MVP Portal

MVP Por­tal

This service is intended for those providers who would like to meet BaFin's notification, reporting and transmission requirements on the basis of a simple and secure electronic data exchange system or who are required to use the Reporting and Publishing Platform.

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Hinweisgeberportal

Whistle­blow­ers

Do you wish to disclose actual or suspected violations of supervisory provisions? You can send such information anonymously to BaFin's central contact point for whistleblowers.

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Ausschreibungen

Calls for ten­der

Calls for tender and tender specifications are only available in German.

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