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Nachhaltige Finanzwirtschaft (refer to: Sustainable finance)
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Sus­tain­able fi­nance

From damage caused by extreme environmental and climatic changes and the consequences of developments in society to losses in the value of assets as a result of a stigmatisation of established technologies, short-term changes in the politico-economic framework conditions and …

From damage caused by extreme environmental and climatic changes and the consequences of developments in society to losses in the value of assets as a result of a stigmatisation of established technologies, short-term changes in the politico-economic framework conditions and ethico-social transformations: sustainability risks pose both a direct and an indirect challenge to the financial sector. This article explains how BaFin deals with this important topic.

Pagination

Pagination

News

Date: 11.07.2018 - Topic Unauthorised business The operator of “XMarkets” (Celestial Trading Ltd.) has no authorisation pursuant to section 32 of the German Banking Act. Its services are not to be confused with those provided by Deutsche Bank AG (“X-markets”)

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht - BaFin) points out that Celestial Trading Ltd., which operates the platform “XMarkets”, has not been granted authorisation to provide financial services pursuant to section 32 of the German Banking Act (Gesetz über das Kreditwesen – KWG). The company is not supervised by BaFin as of yet. More: The operator of “XMarkets” (Celestial Trading Ltd.) has no authorisation pursuant to section 32 of the German Banking Act. Its services are not to be confused with those provided by Deutsche Bank AG (“X-markets”) …

Date: 06.07.2018 Company sale subject to strict requirements

Generali Deutschland AG plans to sell its majority shareholding in subsidiary Generali Lebensversicherung AG to Viridium Group, the company announced today. The sale is subject to the outcome of BaFin's examination. More: Company sale subject to strict requirements …

Date: 13.06.2018 BaFin issues warning against e-mails allegedly from a "Mr Deggy Rudolf"

Unknown persons are currently sending e-mails with a fake BaFin ID under the name "Deggy Rudolf" together with a letter of final warning in English allegedly signed by BaFin Chief Executive Director Elisabeth Roegele. More: BaFin issues warning against e-mails allegedly from a "Mr Deggy Rudolf" …

Date: 26.04.2018 - Topic Market manipulation ASMALLWORLD AG (ISIN: CH0404880129): 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 ASMALLWORLD AG (ISIN: CH0404880129) via e-mail market letters. More: ASMALLWORLD AG (ISIN: CH0404880129): BaFin warns of buy recommendations for shares …

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Measures

Date: 13.07.2018 - Topic Measures Maier + Partner Aktiengesellschaft: BaFin threatens coercive fines

On 11 July 2018 BaFin ordered Maier + Partner Aktiengesellschaft to comply with the financial reporting requirements pursuant to sections 114 et seq. of the Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and threatened coercive fines in the amount of EUR 110,000. More: Maier + Partner Aktiengesellschaft: BaFin threatens coercive fines …

Date: 11.07.2018 - Topic Measures BaFin imposes fines

BaFin imposed administrative fine amounting to 19,500 euros against a senior manager of an institution relating to breaches of section 24 (3) sentence 1 number 1 of the German Banking Act (Kreditwesengesetz – KWG) old version. More: BaFin imposes fines …

Date: 03.07.2018 - Topic Company takeovers Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Beate Uhse Aktiengesellschaft

On 15 December 2017, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2,500 euros against Beate Uhse Aktiengesellschaft. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Beate Uhse Aktiengesellschaft …

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)
More Measures:

New documents

Format:Form Erscheinungfrom 6 June 2018Topic ProspectusesNo­ti­fi­ca­tion of pub­li­ca­tion (GER / ENG)

Notification of publication (GER / ENG)

Format:Form Erscheinungfrom 6 June 2018Topic ProspectusesAp­pli­ca­tion for ap­proval in the sec­cu­ri­ties prospec­tus ap­proval pro­ce­dure (GER / ENG)

Application for approval in the seccurities prospectus approval procedure (GER / ENG)

Format:Form Erscheinungfrom 6 June 2018Topic ProspectusesFil­ing of the fi­nal of­fer price and/or of­fer vol­ume (GER / ENG)

Filing of the final offer price and/or offer volume (GER / ENG)

Format:Guidance Notice Erscheinungfrom 16 April 2018Topic Risk managementRe­port and guide­lines on liq­uid­i­ty stress test­ing in Ger­man as­set man­age­ment com­pa­nies

Report and guidelines on liquidity stress testing in German asset management companies

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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)

Com­pa­nies

Ansprechpartner für Unternehmen (refer to: Companies)

Jour­nal­ists

Ansprechpartner für Medien (refer to: Journalists)

For whistle­blow­ers

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

Whistleblower (refer to: For whistleblowers)
More Contact options:

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 …