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Neues Rahmenwerk zur internationalen Amtshilfe der Wertpapieraufseher (refer to: New framework for international administrative assistance among securities supervisors)
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New frame­work for in­ter­na­tion­al ad­min­is­tra­tive as­sis­tance among se­cu­ri­ties su­per­vi­sors

Negotiations on an enhanced multilateral memorandum of understanding concerning international administrative assistance of the International Organization of Securities Commissions (IOSCO) have been successfully concluded. The aim was to adapt the existing memorandum of understanding to the fact that securities markets are now more interconnected than before as well as to new technologies like the internet and mobile communications services.

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News

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 …

Date: 09.05.2017 BaFin President calls for burden on smaller institutions to be reduced

For BaFin President Felix Hufeld, the plans of the European Commission to reduce the regulatory burden on smaller institutions do not go far enough. "We need a nuanced approach", he urged in his speech at the authority's annual press conference in Frankfurt am Main on 9 May. More: BaFin President calls for burden on smaller institutions to be reduced …

Date: 08.05.2017 - Topic Consumer protection BaFin restricts CFD trading

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) today issued a General Administrative Act pursuant to section 4b of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). The General Administrative Act restricts the marketing, distribution and sale of financial contracts for difference (CFDs). Contracts with an additional payments obligation may no longer be offered to retail clients. More: BaFin restricts CFD trading …

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Measures

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 …

Date: 20.06.2017 - Topic Measures Stockholm IT Ventures AB: BaFin threatens coercive fines

On 8 June 2017 BaFin ordered Stockholm IT Ventures AB 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 402,500. More: Stockholm IT Ventures AB: BaFin threatens coercive fines …

Date: 13.06.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Fritz Nols AG

On 4 January 2017, the Federal Office of Justice (Bundesamt für Justiz - BfJ) imposed a disciplinary fine amounting to 2,500 euros against Fritz Nols AG. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Fritz Nols AG …

Su­per­vi­so­ry mea­sures

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New documents

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: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 …

Format:Publication Erscheinungfrom 3 May 2017Topic MeasuresWpHG Ad­min­is­tra­tive Fine Guide­lines II

Guidelines on the Imposition of Administrative Fines for Offences relating to the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG)

Format:Circular Erscheinungfrom 10 April 2017Topic Anti-money launderingCir­cu­lar 3/2017 (GW) - video iden­ti­fi­ca­tion pro­ce­dures

Requirements for the use of video identification procedures (Reference: Circular 1/2014, item III of 5 March 2014)

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