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BaFin-Exekutivdirektor Raimund Röseler (refer to: Interview: Banks’ Own Funds)
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In­ter­view: Banks’ Own Funds

The question of which own funds European banks have to maintain is governed by the CRR and the CRD IV. The two legislative acts implement the globally agreed Basel III requirements. Chief Executive Director Raimund Röseler explains why proportionality is so important to him with regard to CRR and CRD IV revision.

Pagination

News

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 FinanzdienstleistungsaufsichtBaFin), 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 FinanzdienstleistungsaufsichtBaFin) today issued a General Administrative Act pursuant to section 4b of the German Securities Trading Act (WertpapierhandelsgesetzWpHG). 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 …

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 …

Measures

Date: 24.05.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against New-York Hamburger Gummi-Waaren Compagnie Aktiengesellschaft

On 19 January 2017, the Federal Office of Justice (Bundesamt für JustizBfJ) imposed a disciplinary fine amounting to 2,500 euros against New-York Hamburger Gummi-Waaren Compagnie Aktiengesellschaft. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against New-York Hamburger Gummi-Waaren Compagnie Aktiengesellschaft …

Date: 18.05.2017 - Topic Measures East-West Assekuranz AG: BaFin revokes authorisation to pursue insurance business

With notice of 16 February 2017, the German Federal Financial Supervisory Authority (Bundesanstalt für FinanzdienstleistungsaufsichtBaFin) revoked the authorisation of East-West Assekuranz AG (Berlin) to pursue insurance business, which had been granted to it by BaFin in 2009. More: East-West Assekuranz AG: BaFin revokes authorisation to pursue insurance business …

Date: 16.05.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Wild Bunch AG

On 17 November 2016, the Federal Office of Justice (Bundesamt für Justiz - BfJ) imposed a disciplinary fine amounting to 2,500 euros against Wild Bunch AG. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Wild Bunch AG …

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

Topic Consumer protectionGen­er­al Ad­min­is­tra­tive Act re­gard­ing CFDs

Announcement of the General Administrative Act of the German Federal Financial Supervisory Authority (Bundesanstalt für FinanzdienstleistungsaufsichtBaFin) 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 …

Topic MeasuresWpHG Ad­min­is­tra­tive Fine Guide­lines II

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

Topic 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)

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).

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.

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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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