Before going to the register of tied agents (“Register der vertraglich gebundenen Vermittler”), please note the supplementary information provided below.

Notes concerning the database

The database is updated daily. BaFin takes the data intended for publication from the notifications submitted pursuant to the regulations concerning tied agents and the public register pursuant to section 2 (10) sentence 6 KWG (KWG Tied Agents Ordinance – KWG-Vermittlerverordnung – KWGVermV). The liable institutions bear the responsibility for the completeness, accuracy and currentness of the data published in the database.

In addition, BaFin explicitly points out that it does not assume any liability for the portfolio and quality of specific investment products offered by the institutions or their tied agents, or for the achievability of any projected returns.

In addition to the above provisions, attention is drawn to the General Terms and Conditions of Use of the BaFin website.

Contents of the database

The public register of tied agents contains the data on the tied agents notified by the liable institutions pursuant to section 2 (10) KWG in conjunction with the regulations concerning tied agents and the public register under section 2 (10) sentence 6 KWG (KWG Tied Agents Ordinance – KWGVermV). The public register of tied agents does not contain any data on the insurance intermediaries. The register of insurance intermediaries is maintained by the Chambers of Industry and Commerce (Industrie- und Handelskammer) and may be viewed at www.vermittlerregister.org.

Instructions for use

The following possible ways of searching for tied agents are provided for external users of the public register maintained on BaFin’s website:

Alphabetical-numerical search for tied agents

• selection via alphabetical lists and “Others” (“Sonstige”)
• enter a name in a search field – string function permitted
• enter a name, first name, legal form, postcode, town, register number in the comfort search function (“Komfortsuche”)
• search can be restricted to the legal form corresponding to the institutions’ input template
• search can be restricted to active and deregistered tied agents

Alphabetical search for institutions subject to BaFin supervision with relations to tied agents (no foreign branches)

• selection via alphabetical lists – when selecting the institution, it is technically possible to sub-select active and deregistered tied agents (full list, active, deregistered)
• search can be restricted to institutions subject to BaFin supervision with relations to tied agents (active and deregistered), and institutions with deregistered tied agents.

Comfort search (“Komfortsuche”)

• A tied agent can be called up via the field “register no.” (“Register Nr.”). The register no. is published in the public register for each tied agent. The register no. changes if the tied agent moves to another liability umbrella (Haftungsdach).
• Under the heading “private individual” (“Privatperson”), the search for tied agents operating as individuals can be refined using the first name, last name (surname), postcode, town and country fields (selection tab). Depending on the information held by the searcher, the fields can be completed with the available data.
• Under “institution” (“Institut”), the search for tied agents operating in the legal forms of sole trader, legal entity (GmbH, AG) or partnership (OHG), or other persons can be refined based on the search criteria name, legal form (selection tab), postcode, town and country (selection tab). Depending on the information held by the searcher, the fields can be completed with the available data.

Restriction of the search function

The search function can be restricted for all fields to the following tied agents:

• “active only” (“nur active”), i.e. those agents who are currently operating under the liability umbrella of an institution – here only the current liability relationship is shown;
• “deregistered only” (“nur abgemeldete”), i.e. those agents who previously cooperated as a tied agent with an institution providing the liability umbrella – here only past liability relationships are shown, or
• “full list” (“Gesamtanzeige”), i.e. overview of all tied agents.

Straight to database

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