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RoboAdvice (refer to: Robo-advice - Automated investment advice in supervisory practice)
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Robo-ad­vice - Au­to­mat­ed in­vest­ment ad­vice in su­per­vi­so­ry prac­tice

In the course of increasing digitalisation, companies are offering financial instruments online with ever greater frequency. For such investment services, the same requirements essentially apply as for services provided in-branch or over the phone. This is also the case for …

In the course of increasing digitalisation, companies are offering financial instruments online with ever greater frequency. For such investment services, the same requirements essentially apply as for services provided in-branch or over the phone. This is also the case for investment advice.

Pagination

News

Date: 19.09.2017 BaFin has published its Statistics on Reinsurance undertakings 2015/2016

BaFin has published its Statistics on Reinsurance undertakings for 2015/2016. The Statistics contain information on the number of reinsurers authorised in Germany and the economic trends in the reinsurance market. They also include an evaluation of the annual financial statements of 31 reinsurers and one third-country branch. More: BaFin has published its Statistics on Reinsurance undertakings 2015/2016 …

Date: 30.08.2017 Results of the 2017 low-interest-rate survey

The low-interest-rate environment continues to weigh heavily on small and medium-sized credit institutions in Germany. More: Results of the 2017 low-interest-rate survey …

Date: 20.07.2017 - Topic Governance Authorisation procedure: BaFin publishes guidance notice on banking business

What are the requirements that credit institutions have to meet if they wish to apply for authorisation to conduct banking business pursuant to sections 32 and 33 of the German Banking Act (Kreditwesengesetz – KWG) in conjunction with section 14 of the German Reports Regulation (Anzeigenverordnung – AnzV)? To answer this question, BaFin has now published a guidance notice, in particular in view of the forthcoming Brexit process. More: Authorisation procedure: BaFin publishes guidance notice on banking business …

Date: 20.07.2017 Annual Report in English: HTML version published

The English version of BaFin’s 2016 Annual Report is now also available in HTML format for the first time. More: Annual Report in English: HTML version published …

Measures

Date: 12.09.2017 - Topic Measures China Specialty Glass AG: BaFin threatens coercive fines

On 6 September 2017 BaFin ordered China Specialty Glass AG to comply with the financial reporting requirements pursuant to sections 37v et seq. of the Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and threatened coercive fines in the amount of EUR 282,500. More: China Specialty Glass AG: BaFin threatens coercive fines …

Date: 05.09.2017 - Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Intertainment AG

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

Date: 29.08.2017 - Topic Measures Beate Uhse Aktiengesellschaft: BaFin threatens coercive fines

On 22 August 2017 BaFin ordered Beate Uhse Aktiengesellschaft to comply with the financial reporting requirements pursuant to sections 37v et seq. of the Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and threatened coercive fines in the amount of EUR 220,000. More: Beate Uhse Aktiengesellschaft: BaFin threatens coercive fines …

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 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

Topic Authorisation requirementsBranch pass­port no­ti­fi­ca­tion

Branch passport notification

Topic Authorisation requirementsTied agent pass­port no­ti­fi­ca­tion

Tied agent 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)

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 …