BaFin

News

OTC-Derivate: Besicherungspflicht für nicht zentral abgewickelte Kontrakte (refer to: OTC derivatives)
1

OTC deriva­tives

The Delegated Regulation on risk-mitigation techniques for non-standardised OTC derivatives was published in the Official Journal of the European Union on 15 December 2016. It came into force on 4 January 2017. The underlying regulatory technical standards were developed jointly by the three European Supervisory Authorities (ESAs), since the requirements for OTC derivatives are to be applied across the different sectors.

Pagination

News

Date: 15.03.2017 - Topic Authorisation Health insurance: BaFin publishes new guidance notice on the authorisation of joint-stock companies

BaFin has published a new guidance notice comprising guidelines for the authorisation of insurance joint-stock companies for the pursuit of health insurance business as primary insurance undertakings in Germany. It specifies the documents and information required by BaFin from companies in order to assess whether authorisation can be given. In addition, the guidance notice states the specificities applicable to small insurance undertakings within the meaning of section 211 of the German Insurance Supervision Act (VersicherungsaufsichtsgesetzVAG). More: Health insurance: BaFin publishes new guidance notice on the authorisation of joint-stock companies …

Date: 10.03.2017 - Topic Prospectuses Securities prospectuses: BaFin to hold workshop to provide information to foreign issuers

BaFin is inviting foreign issuers wishing to go through BaFin's approval procedure for securities prospectuses and their advisers to a prospectus workshop in Frankfurt on 23 May 2017 from 10 a.m. to 3.15 p.m. The workshop will be held in English and will address a need on the part of issuers to find out about alternative ways of accessing the European capital market in the context of Brexit. More: Securities prospectuses: BaFin to hold workshop to provide information to foreign issuers …

Date: 28.02.2017 - Topic Authorisation Data reporting services providers: BaFin is accepting draft applications

The European Markets in Financial Instruments Directive II (MiFID II) requires the provision of data reporting services by data reporting services providers to be authorised and supervised by the national competent authorities from 3 January 2018. More detailed information can be found on the BaFin website. More: Data reporting services providers: BaFin is accepting draft applications …

Date: 24.02.2017 Reporting obligation under MiFIR: Legal Entity Identifier (LEI) will be compulsory from 2018 onwards

From 3 January 2018 onwards a legal entity identifier (LEI) will be necessary for reportable transactions pursuant to Article 26 of the Markets in Financial Instruments Regulation (MiFIR). More: Reporting obligation under MiFIR: Legal Entity Identifier (LEI) will be compulsory from 2018 onwards …

Measures

Date: 20.03.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Fenghua SoleTech AG

On 6 January 2017, the Federal Office of Justice (Bundesamt für JustizBfJ) imposed a disciplinary fine amounting to 2,500 euros against Fenghua SoleTech AG. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Fenghua SoleTech AG …

Date: 20.03.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Ming Le Sports AG

On 29 November 2016, the Federal Office of Justice (Bundesamt für JustizBfJ) imposed a disciplinary fine amounting to 2,500 euros against Ming Le Sports AG. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Ming Le Sports AG …

Date: 20.03.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Ophirum ETP GmbH

On 17 March 2016, the Federal Office of Justice (Bundesamt für JustizBfJ) imposed a disciplinary fine amounting to 2,500 euros against Ophirum ETP GmbH. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Ophirum ETP GmbH …

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)

New documents

Ar­bi­tra­tion Board at BaFin

The arbitration board at the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) is an official consumer dispute resolution entity pursuant to section 14 (1) of the German Injunctions Act (Unterlassungsklagengesetz – UKlaG).

Topic AuthorisationGuid­ance no­tice on the au­tho­ri­sa­tion of in­sur­ance joint-stock com­pa­nies for the pur­suit of health in­sur­ance busi­ness

Guidelines for the authorisation of insurance joint-stock companies for the pursuit of health insurance as primary insurance undertakings within the Federal Republic of Germany

Guid­ance no­tice on the au­tho­ri­sa­tion of in­sur­ance joint-stock com­pa­nies for the pur­suit of rein­sur­ance busi­ness

Guidelines for the authorisation of insurance joint-stock companies for the sole pursuit of reinsurance business within the Federal Republic of Germany

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)

For whistle­blow­ers

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

Whistleblower (refer to: For whistleblowers)

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.

More: Databases …

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.

More: MVP Portal …

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.

More: Whistleblowers …

Ausschreibungen

Calls for ten­der

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

More: Calls for tender …