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Date: 14.11.2018 | Topic Market manipulation United Battery Metals Corp. (ISIN: CA9095801028): 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 United Battery Metals Corp. (ISIN: CA9095801028) on a large scale via e-mail newsletters.

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Date: 23.10.2018 | Topic Market manipulation Biovolt AG (ISIN: CH0328339665): 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 Biovolt AG (ISIN: CH0328339665).

More: Biovolt AG (ISIN: CH0328339665): BaFin warns of buy recommendations for shares …

Date: 16.10.2018 | Topic Risk management MaRisk: BaFin publishes English translation

The amended version of the Minimum Requirements for Risk Management (Mindestanforderungen an das Risikomanagement - MaRisk) is now also available in English. BaFin has published the translation on its website.

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Date: 25.09.2018 | Topic Unauthorised business FXC Markets, Berlin: risk of confusion with the authorised company FXCM

A company called FXC Markets, which allegedly has its registered office in Berlin, claims that it has been authorised by BaFin, although this is not the case. FXC Markets uses the company details of FXCM (Forex Capital Markets Limited, Nürnberger Str. 13, 10789 Berlin, www.fxcm.de), giving the false impression that it is linked to FXCM.

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Measures

Date: 20.11.2018 | Topic Measures Gigaset AG: BaFin imposes administrative fine

On 24 October 2018, BaFin imposed administrative fines amounting to 135,000 euros against Gigaset AG.

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Date: 09.11.2018 | Topic Unauthorised business Finatex Ltd.: BaFin orders the cessation of cross-border proprietary trading

In a notice dated 2 October 2018, BaFin ordered Finatex Ltd., United Kingdom, to cease cross-border proprietary trading immediately.

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Date: 01.11.2018 | Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Deutsche Cannabis AG

On 3 August 2018, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2.500 euros against Deutsche Cannabis AG.

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Date: 01.11.2018 | Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Deutsche Cannabis AG

On 3 August 2018, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2.500 euros against Deutsche Cannabis AG.

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New documents

Format:Form Erscheinungfrom 12 November 2018Check­list ap­point­ment man­age­ment board

Checklist appointment management board

Format:Publication Erscheinungfrom 21 September 2018BaFin­Per­spec­tives Is­sue 1 | 2018

Supervision and Regulation in the Age of Big Data and Artificial Intelligence / Distributed Ledger Technology: Blockchain as a Basis for Information Security / Blockchain Technology – Thoughts on Regulation / Digitalisation and Information Security in the Financial and Insurance Sectors as a Focus of Regulatory Requirements

Format:Publication Erscheinungfrom 30 July 2018An­nu­al Re­port 2017

BaFin Annual Report 2017

Format:Form Erscheinungfrom 23 July 2018Topic Authorisation requirementsQues­tion­naire to Mi­FID branch­es of UK firms pro­vid­ing in­vest­ment ser­vices and ac­tiv­i­ties in Ger­many

Questionnaire Brexit

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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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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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