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MaRisk (refer to: MaRisk: New Minimum Requirements for Banks' Risk Management)
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MaRisk: New Min­i­mum Re­quire­ments for Banks' Risk Man­age­ment

BaFin published the revised version of the Minimum Requirements for Risk Management (Mindestanforderungen an das Risikomanagement der Banken – MaRisk). Key changes detailed in this article relate to data aggregation, risk reporting, risk culture and outsourcing.

BaFin published the revised version of the Minimum Requirements for Risk Management (Mindestanforderungen an das Risikomanagement der Banken – MaRisk). Key changes detailed in this article relate to data aggregation, risk reporting, risk culture and outsourcing.

Pagination

News

Date: 14.12.2017 - Topic SSM EBA publishes data templates for non-performing loans

The BaFin welcomes today’s publication of NPL data templates by the European Banking Authority (EBA). The templates will create the foundation for NPL transactions across the EU. They will provide a common EU data set for the screening, financial due diligence and valuation during NPL transactions. An extended use of the templates is expected to widen the investor base, lower entry barriers to potential investors, improve data quality and availability, support price discovery and facilitate the development of the NPL secondary market. More: EBA publishes data templates for non-performing loans …

Date: 08.12.2017 - Topic Risk management Liquidity stress tests: BaFin publishes report with guidelines for asset management companies

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has published a report with guidelines for liquidity stress tests for asset management companies (Kapitalverwaltungsgesellschaften). This had been the subject of a public consultation prior to publication. The guidelines describe what BaFin considers to be an appropriate design for liquidity stress tests in the context of liquidity risk management. More: Liquidity stress tests: BaFin publishes report with guidelines for asset management companies …

Date: 07.12.2017 - Topic Own funds BaFin and Bundesbank welcome agreement to conclude Basel III reform package

The Federal Financial Supervisory Authority (BaFin) and the Deutsche Bundesbank have welcomed the agreement reached by the oversight body of the Basel Committee on Banking Supervision to wrap up the Basel III reform package. Both institutions regard today’s outcome as a major step towards preserving a harmonised global regime for banking sector regulation and strengthening financial stability. More: BaFin and Bundesbank welcome agreement to conclude Basel III reform package …

Date: 07.12.2017 - Topic Market manipulation ChroMedX 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 ChroMedX Corp. (ISIN CA17111W1095) on a large scale via e-mail newsletters. More: ChroMedX Corp.: BaFin warns of buy recommendations for shares …

Measures

Date: 11.12.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Travel24.com AG

On 10 July 2017, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2.500 euros against Travel24.com AG. More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Travel24.com AG …

Date: 06.12.2017 - Topic Measures China Specialty Glass AG: BaFin imposes coercive fines

On 28 November 2017 BaFin imposed coercive fines in the amount of EUR 282,500 on China Specialty Glass AG. More: China Specialty Glass AG: BaFin imposes coercive fines …

Date: 29.11.2017 - Topic Measures SKW Stahl-Metallurgie Holding AG: BaFin imposes administrative fine

On 23 November 2017, BaFin imposed an administrative fine amounting to 668,000 euros against SKW Stahl-Metallurgie Holding AG. More: SKW Stahl-Metallurgie Holding AG: BaFin imposes administrative fine …

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 protectionGuid­ance no­tice on the gen­er­al ad­min­is­tra­tive act of 8 May 2017 re­gard­ing con­tracts for dif­fer­ence (CFDs)

Guidance notice on the implementation of the general administrative act of 8 May 2017 regarding contracts for difference (CFDs) pursuant to section 4b (1) of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG)

No­ti­fi­ca­tion pur­suant to sec­tion 79 sen­tence 1 of the WpHG

Commencement or cessation of systematic internalisation activity pursuant to section 2 (8) sentence 1 no. 2 (b) of the WpHG, including a declaration of voluntary submission to the rules which apply to systematic internalisation (section 2 (8) sentence 5, second alternative of the WpHG) or its withdrawal

Topic Industry figuresStatis­tics from BaFin - Rein­sur­ance un­der­tak­ings 2015/2016

Statistics from BaFin - Reinsurance undertakings 2015/2016

Topic Authorisation requirementsIn­vest­ment ser­vices and ac­tiv­i­ties pass­port no­ti­fi­ca­tion

Investment services and activities passport notification

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)
Ansprechpartner für Medien (refer to: Journalists)

For whistle­blow­ers

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

Whistleblower (refer to: For whistleblowers)

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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

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