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: 05.09.2018 | Topic Unauthorised business BaFin orders Rothmann & Ginst to cease unauthorised investment broking and investment advice activities

On 3 September 2018, BaFin ordered Rothmann & Ginst to cease its investment broking and investment advice activities. The company’s offices are allegedly located in Luxembourg, London and New York.

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Date: 03.09.2018 | Topic Measures Deutsche Cannabis AG: BaFin imposes coercive fines

On 29 August 2018 BaFin imposed coercive fines in the amount of EUR 565,000 on Deutsche Cannabis AG.

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Date: 03.09.2018 | Topic Unauthorised business Atlantic Global Asset Management (AGAM) and Five Winds Asset Management: BaFin prohibits investment management activities

With notice of 21 August 2018, BaFin ordered Atlantic Global Asset Management (AGAM) and Five Winds Asset Management, Cape Verde, to cease their investment management activities immediately.

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Date: 22.08.2018 | Topic Unauthorised business JAC GmbH: BaFin orders the cessation of supporting unauthorised proprietary trading

As of 8 May 2018, BaFin ordered JAC GmbH, Düsseldorf, to cease and desist from supporting cross-border proprietary trading conducted by trading platforms.

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New documents

An­nu­al Re­port 2017

BaFin Annual Report 2017

Topic FintechsStudy: "Big Da­ta meets ar­ti­fi­cial in­tel­li­gence"

Big Data meets artificial intelligence

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.

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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)