BaFin

News

Date: 07.08.2018 | Topic Unauthorised business Online trading platforms: BaFin warns against unlicensed providers

BaFin warns against entering into transactions, particularly involving CFDs (contracts for difference), binary options and so-called forex-trading, via online trading platforms operated by unlicensed providers.

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Date: 26.07.2018 Chief Executive Director Elisabeth Roegele becomes Deputy President of BaFin

With effect from 1 August, Chief Executive Director Elisabeth Roegele will take on the role of Deputy President of BaFin. President Felix Hufeld presented Roegele with the letter of appointment from the Federal Ministry of Finance a short time ago.

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Date: 18.07.2018 | Topic Unauthorised business Zurich Private Capital Group is an unauthorized institution

“Zurich Private Capital Group” with alleged business adresses in Frankfurt am Main and Hong Kong and contact adresses in London, Dubai, Singapore, Mauritius, Mahe (Seychelles) and Mumbai offers services regarding “Savings, Investments, Capital Management” over the internet (zurichprivatecapital.com).

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Date: 17.07.2018 | Topic Unauthorised business Helmuth Newin Group is an unauthorized institution

The “Helmuth Newin Group” with alleged business adresses in Regensburg, Germany, and Zurich, Switzerland, offers banking business and financial services over the internet (www.helmuth-newin.com) and by phone.

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Measures

Date: 16.08.2018 | Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Agennix AG

On 6 April 2018, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 17,500 euros against Agennix AG.

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Date: 16.08.2018 | Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Agennix AG

On 6 April 2018, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 7,500 euros against Agennix AG.

More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Agennix AG …

Date: 16.08.2018 | Topic Measures Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Agennix AG

On 6 April 2018, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 7,500 euros against Agennix AG.

More: Publication of financial reports: Federal Office of Justice imposes disciplinary fine against Agennix AG …

Date: 10.08.2018 | Topic Measures KREMLIN AG: BaFin threatens coercive fines

On 30 July 2018 BaFin ordered KREMLIN AG to comply with the financial reporting requirements pursuant to sections 114 et seq. of the Securities Trading Act (WertpapierhandelsgesetzWpHG) and threatened coercive fines in the amount of EUR 110,000.

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New documents

An­nu­al Re­port 2017

BaFin Annual Report 2017

Topic FintechsCon­sul­ta­tion on BDAI re­port

As the amount of data available is constantly growing and ever better opportunities for using this data are arising, companies are able to structure their work processes more efficiently and develop new business models. Supervisors and regulators, however, are facing new challenges as the use of big data and artificial intelligence (BDAI) increases on financial markets.

Attachments

Topic FintechsStudy: "Big Da­ta meets ar­ti­fi­cial in­tel­li­gence"

Big Data meets artificial intelligence

Quick links

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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Datenbanken (refer to: Databases)

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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MVP Portal (refer to: MVP Portal)

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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Hinweisgeberportal (refer to: Whistleblowers)

Calls for tender

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

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Ausschreibungen (refer to: Calls for tender)