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Erscheinung:22.04.2024 | Topic Measures Neon Eq­ui­ty AG: BaFin im­pos­es ad­min­is­tra­tive fine

On 28 March 2024, BaFin imposed an administrative fine amounting to 62,000 euros on Neon Equity AG on the grounds that the company had violated the Market Abuse Regulation (MAR) by failing to submit a notification of an own account transaction within the prescribed period.

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Erscheinung:19.04.2024 | Topic Unauthorised business, Consumer protection Welt­tech GmbH: BaFin warns con­sumers about web­site welt­tech24.com

The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website welttech24.com. According to information available to BaFin, the operator Welttech GmbH or Welt Tech allegedly domiciled in Vienna is providing financial and investment services on this website without the required authorisation. The company falsely claims to be regulated in Europe. No license exists.

More: Welttech GmbH: BaFin warns consumers about website welttech24.com …

Erscheinung:19.04.2024 | Topic Unauthorised business, Consumer protection uni­ver­saltrade.io: BaFin warns con­sumers about Uni­ver­salTrade

The Federal Financial Supervisory Authority (BaFin) warns consumers about UniversalTrade and the services it is offering. BaFin suspects the unknown operators of the website universaltrade.io of offering consumers financial and investment services without the required authorisation.

More: universaltrade.io: BaFin warns consumers about UniversalTrade …

Erscheinung:18.04.2024 | Topic Unauthorised business, Consumer protection Sus­pi­cion of iden­ti­ty theft: BaFin warns con­sumers about the web­site ap­pleai­bot.de

The Federal Financial Supervisory Authority (BaFin) warns consumers about the website appleaibot.de. According to information available to BaFin, financial and investment services are being provided on this website without the required authorisation.

More: Suspicion of identity theft: BaFin warns consumers about the website appleaibot.de …

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Warnings and notes for consumers

Erscheinung:19.04.2024 | Topic Unauthorised business, Consumer protection Welt­tech GmbH: BaFin warns con­sumers about web­site welt­tech24.com

The Federal Financial Supervisory Authority (BaFin) warns consumers about the services offered on the website welttech24.com. According to information available to BaFin, the operator Welttech GmbH or Welt Tech allegedly domiciled in Vienna is providing financial and investment services on this website without the required authorisation. The company falsely claims to be regulated in Europe. No license exists.

More: Welttech GmbH: BaFin warns consumers about website welttech24.com …

Erscheinung:19.04.2024 | Topic Unauthorised business, Consumer protection uni­ver­saltrade.io: BaFin warns con­sumers about Uni­ver­salTrade

The Federal Financial Supervisory Authority (BaFin) warns consumers about UniversalTrade and the services it is offering. BaFin suspects the unknown operators of the website universaltrade.io of offering consumers financial and investment services without the required authorisation.

More: universaltrade.io: BaFin warns consumers about UniversalTrade …

Erscheinung:18.04.2024 | Topic Unauthorised business, Consumer protection Sus­pi­cion of iden­ti­ty theft: BaFin warns con­sumers about the web­site ap­pleai­bot.de

The Federal Financial Supervisory Authority (BaFin) warns consumers about the website appleaibot.de. According to information available to BaFin, financial and investment services are being provided on this website without the required authorisation.

More: Suspicion of identity theft: BaFin warns consumers about the website appleaibot.de …

Erscheinung:18.04.2024 | Topic Unauthorised business, Consumer protection swis­strades365.com: BaFin in­ves­ti­gates Nine­ty One Group Ltd.

The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Ninety One Group Ltd. and the services it is offering. BaFin has information that the company is offering banking business and/or financial services on its website swisstrades365.com without the required authorisation. The company is not supervised by BaFin.

More: swisstrades365.com: BaFin investigates Ninety One Group Ltd. …

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New documents

Format Guidance Notice Erscheinung: from 07.03.2024 Topic Recovery/resolutionGuid­ance No­tice on trade sus­pen­sion on non-ex­changes in the con­text of bank res­o­lu­tion

Guidance Notice on trade suspension on non-exchanges in the context of bank resolution (Status: 07.03.2024)

Format Circular Erscheinung: from 16.02.2024 Topic ResolutionCir­cu­lar 01/2024 (A)

Circular 01/2024 (A) - Minimum requirements for resolvability within the scope of resolution planning (MaResolvability)

Format Circular Erscheinung: from 16.01.2024 Topic Risk managementCir­cu­lar 05/2023 (BA) - Min­i­mum Re­quire­ments for Risk Man­age­ment (MaRisk)

Annotated text of the Minimum Requirements for Risk Management (MaRisk) in the version of 29.06.2023.

Please note: This English version is provided for information purposes only. The original German text is binding in all respects.

Format Publication Erscheinung: from 04.08.2023 An­nu­al Re­port 2022

BaFin Annual Report 2022

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