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Before banks, financial services providers, asset management companies, insurers or pension funds can commence operations, they need written authorisation from BaFin. An exception applies to companies from another signatory state to the Agreement on the European Economic Area, which simply must notify BaFin of their intention to provide cross-border services or establish a branch in Germany. This is known as “notification procedure” or “European Passport”.

No­ti­fi­ca­tions pur­suant to sec­tion 15a of the Se­cu­ri­ties Trad­ing Act (Di­rec­tors’ Deal­ings)

BaFin has compiled a database based on securities transactions reported and published since 1 July 2002. The database includes the securities transactions which were published no more than a year ago, and lists the names of the notifying persons and the publishing issuers as well as individual items of information about the transactions and their publication.

Ma­jor hold­ings of vot­ing rights pur­suant to sec­tion 21 of the Ger­man Se­cu­ri­ties Trad­ing Act

Based on published holdings of voting rights, BaFin has drawn up a consolidated overview of the holdings of voting rights in German companies which are admitted to trading on an organised market. The data is updated based on the records of publication submitted by the listed companies.

Reg­is­ter of tied agents pur­suant to sec­tion 2 (10) sen­tence 6 of the Ger­man Bank­ing Act

This public register maintained by BaFin provides information on the tied agents pursuant to section 2 (10) sentence 6 KWG (KWG agents) which the liable institutions have notified to BaFin. The liable institutions bear the responsibility for the completeness, accuracy and currentness of the data published in the database.

In­vest­ment Funds Database

This public database is maintained by BaFin and contains information on domestic and foreign-based retail investment funds (Publikums-Investmentvermögen) which are marketed in Germany (pursuant to sections 294, 310, 316 or 320 of the German Investment Code (Kapitalanlagegesetzbuch – KAGB)) and domestic depositaries for retail investment funds (sections 68 et seq., 80 et seq. of the KAGB)

Reg­is­ter of fee-based in­vest­ment ad­vis­ers pur­suant to sec­tion 36c (1) of the Ger­man Se­cu­ri­ties Trad­ing Act (WpHG)

This register contains information on investment services enterprises or branches as defined in section 53b (1) sentences 1 and 2 or (7) of the German Banking Act (KWG) that are allowed to provide investment advice within the meaning of section 2 (3) sentence 1 no. 9 of the WpHG and that are eligible for the register.

Prospec­tus­es filed

Securities and other investment products may not be offered for sale to the public in Germany without a prospectus; and the publication of any such prospectus requires the prior permission of BaFin.

BaFin sets cap­i­tal buffers for oth­er sys­tem­i­cal­ly im­por­tant in­sti­tu­tions

According to section 10g (2) of the German Banking Act (Kreditwesengesetz – KWG) the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht) has imposed a capital buffer for other systemically important institutions (O-SII).

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