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Erscheinung:16.06.2021 | Topic Anti-money laundering Anti-money laundering: Board meeting of the public private partnership AFCA

On 16 June 2021, a board meeting of the AML/CFT public private partnership Anti Financial Crime Alliance (AFCA) took place. Dr. Thorsten Pötzsch, BaFin´s Chief Executive Director responsible for money laundering prevention, attended the meeting as board member of AFCA.

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Erscheinung:15.06.2021 | Topic Digitalisierung Big data and artificial intelligence: New paper published by BaFin to outline principles

On 15 June 2021, BaFin published supervisory principles for the use of algorithms in decision-making processes by financial institutions. Those principles are intended to promote the responsible use of big data and artificial intelligence (BDAI) and facilitate control of the associated risks. Financial market institutions are increasingly using technologies such as BDAI. In its 2018 study, "Big data meets artificial intelligence", BaFin noted that while BDAI applications would open up opportunities for institutions as well as for consumers, the risks that might be involved with them had to be kept in check (BaFin Perspectives Issue 1 | 2018)

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Erscheinung:10.06.2021 | Topic Market manipulation Windeln.de SE (ISIN DE000WNDL201): BaFin advises caution regarding solicitation to buy shares

According to information available to BaFin, the shares of Windeln.de SE (ISIN DE000WNDL201) are currently the subject of much discussion in social media.

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Erscheinung:04.06.2021 | Topic Unauthorised business europetrading.org: BaFin ermittelt gegen die EuropeTrading bzw. TOROFLEX LTD

Die BaFin stellt gemäß § 37 Absatz 4 Kreditwesengesetz (KWG) klar, dass die TOROFLEX LTD keine Erlaubnis zum Betreiben von Bankgeschäften oder Erbringen von Finanzdienstleistungen besitzt. Das Unternehmen unterliegt nicht der Aufsicht der BaFin.

More: europetrading.org: BaFin ermittelt gegen die EuropeTrading bzw. TOROFLEX LTD …

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Measures

Erscheinung:22.06.2021 | Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine on Tuff Group AG

On 3 February 2021 the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50.000 euros on Tuff Group AG.

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Erscheinung:21.06.2021 | Topic Measures Dorval Asset Management: BaFin imposes administrative fine

On 10 June 2021, BaFin imposed an administrative fine amounting to 160,000 euros on Dorval Asset Management.

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Erscheinung:18.06.2021 | Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine on United Power Technology AG

On 16 April 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on United Power Technology AG.

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Erscheinung:18.06.2021 | Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine on United Power Technology AG

On 16 April 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on United Power Technology AG.

More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine on United Power Technology AG …

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Warnings and notes for consumers

Erscheinung:15.06.2021 | Topic Unauthorised business Baumont Group LTD/24news.trade trading platform: BaFin prohibits unauthorised portfolio management

In a notice dated 25 May 2021, BaFin ordered Baumont Group LTD, Saint Vincent and the Grenadines, as the operator of the 24news.trade trading platform, to immediately cease its unauthorised portfolio management activities.

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Erscheinung:10.06.2021 | Topic Market manipulation Windeln.de SE (ISIN DE000WNDL201): BaFin advises caution regarding solicitation to buy shares

According to information available to BaFin, the shares of Windeln.de SE (ISIN DE000WNDL201) are currently the subject of much discussion in social media.

More: Windeln.de SE (ISIN DE000WNDL201): BaFin advises caution regarding solicitation to buy shares …

Erscheinung:04.06.2021 | Topic Unauthorised business europetrading.org: BaFin ermittelt gegen die EuropeTrading bzw. TOROFLEX LTD

Die BaFin stellt gemäß § 37 Absatz 4 Kreditwesengesetz (KWG) klar, dass die TOROFLEX LTD keine Erlaubnis zum Betreiben von Bankgeschäften oder Erbringen von Finanzdienstleistungen besitzt. Das Unternehmen unterliegt nicht der Aufsicht der BaFin.

More: europetrading.org: BaFin ermittelt gegen die EuropeTrading bzw. TOROFLEX LTD …

Erscheinung:31.05.2021 | Topic Unauthorised business bexstock.com: new platform replaces unauthorised investexp.de

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin wishes to clarify that www.bexstock.com, an online trading platform for contracts for difference (CFDs) on shares, commodities, indices, crypto assets and other financial instruments, which is operated by BS ASIA PTE. Ltd., Singapore, does not have authorisation to conduct banking business or provide financial services.

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New documents

Format Publication Erscheinung: from 26.06.2021 Stand: , updated on 11.05.2020 Su­per­vi­so­ry pri­or­i­ties for 2021

With this brochure BaFin imforms the general public and the financial institutions concerned about the supervisory priorities that BaFin sets as part of its strategic planning and legal mandate.

Format Circular Erscheinung: from 11.06.2021 Cir­cu­lar 04/2018 (VA) – Fi­nan­cial Con­glom­er­ate Sol­ven­cy

Reporting Financial Conglomerate Solvency

Format Circular Erscheinung: from 28.01.2021 Stand: , updated on 26.05.2021 Topic Risk managementCir­cu­lar 06/2019 (BA) - In­ter­est rate risk in the bank­ing book

Please note: The English version is provided for information purposes only. The original German text is binding in all respects.

Attachments

Format Interpretative decision Erscheinung: from 27.01.2021 Topic Anti-money launderingAn­ti-mon­ey laun­der­ing guide­lines for in­sti­tu­tions con­duct­ing cryp­to cus­tody busi­ness that are new­ly obliged en­ti­ties un­der the Ger­man Mon­ey Laun­der­ing Act (Geld­wäschege­setz – GwG)

Anti-money laundering guidelines for institutions conducting crypto custody business

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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

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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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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Calls for tender

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

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