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Format Interpretative decision Erscheinung: from 27.01.2021 Topic Anti-money launderingAn­ti-mon­ey laun­der­ing guide­lines for in­sti­tu­tions con­duct­ing cryp­to cus­tody busi­ness that are new­ly obliged en­ti­ties un­der the Ger­man Mon­ey Laun­der­ing Act (Geld­wäschege­setz – GwG)

Anti-money laundering guidelines for institutions conducting crypto custody business

Format Interpretative decision Erscheinung: from 29.09.2020 Topic Consumer protectionGuide­lines on the Gen­er­al Ad­min­is­tra­tive Act of 23 Ju­ly 2019 re­gard­ing Con­tracts for Dif­fer­ence (CFD)

Guidelines on the General Administrative Act of 23 July 2019 pursuant to Article 42 of Regulation (EU) No 600/2014 regarding Contracts for Difference (CFD)

Format Interpretative decision Erscheinung: from 01.09.2020 Topic Consumer protectionGuide­lines on the Gen­er­al Ad­min­is­tra­tive Act of 23 Ju­ly 2019 re­gard­ing Con­tracts for Dif­fer­ence (CFD)

Guidelines on the General Administrative Act of 23 July 2019 regarding CFD

Format Interpretative decision Erscheinung: from 19.03.2020 Topic Authorisation requirementsGuid­ance on in­ter­pret­ing sec­tion 64y of the KWG

Information on the scope and legal consequences of section 64y of the KWG

Format Interpretative decision Erscheinung: from 03.05.2019 Topic ComplianceQ&A on Mi­FID II Mi­FIR In­vestor Pro­tec­tion Top­ics Sec. 1 Q. 20: Bericht­spflicht­en für Mar­ket Mak­er und an­dere Liq­uid­itätsspender

Q&A on MiFID II MiFIR Investor Protection Topics Sec. 1 Q. 20

Format Interpretative decision Erscheinung: from 14.12.2016 Stand: , updated on 06.08.2020 Topic Risk managementIn­ter­pre­ta­tive Guid­ance of the Ger­man Bank Sep­a­ra­tion Act - com­ments

BaFin has published together with Deutsche Bundesbank an Interpretative Guidance on Article 2 of the German Bank Separation Act (Abschirmungsgesetz) of 7 August 2013, Federal Law Gazette I, p. 3090

Attachments

Format Interpretative decision Erscheinung: from 25.11.2016 Topic ProspectusesSe­cu­ri­ties prospec­tus­es in En­glish

Interpretive letter regarding permission to draw up prospectuses in English under section 19 (1) sentence 2 of the Securities Prospectus Act (Wertpapierprospektgesetz – WpPG) in the case of a public offer or admission to trading on an organised market of securities exclusively in Germany

Format Interpretative decision Erscheinung: from 31.08.2016 Con­duct of rein­sur­ance busi­ness in Ger­many by in­sur­ance un­der­tak­ings sit­u­at­ed in a third coun­try

Interpretative decision on some aspects regarding the conduct of reinsurance business in Germany by insurance undertakings situated in a third country

Format Interpretative decision Erscheinung: from 20.10.2014 Topic Investments of insurance companies Notes on the use of ex­ter­nal rat­ings and on mak­ing own cred­it risk as­sess­ments

Notes on external ratings and own credit risk assessments

Format Interpretative decision Erscheinung: from 01.01.2014 Topic Compliance In­ter­pre­ta­tion Guide to the Or­di­nance on the Su­per­vi­so­ry Re­quire­ments for In­sti­tu­tions’ Re­mu­ner­a­tion Sys­tems

Remuneration Ordinance for Institutions, Institutsvergütungsverordnung – InstitutsVergV)

Format Interpretative decision Erscheinung: from 24.06.2013 In­ter­pre­ta­tion of "of­fer of se­cu­ri­ties to the pub­lic" with­in the mean­ing of sec­tion 2 no. 4 of the Se­cu­ri­ties Prospec­tus Act in the con­text of the trad­ing of se­cu­ri­ties on sec­ondary mar­kets

Format Interpretative decision Erscheinung: from 10.06.2013 Topic Investments of insurance companies Guid­ance Notes on BaFin Cir­cu­lar 4/2011 (VA) Part B.4.3 d) with re­gard to In­vest­ments in Cor­po­rate Loans

These guidance notes replace the guidance notes on BaFin Circular 15/2005 (VA) Part A.III.3 c) on investments in corporate loans of 22 March 2010

Format Interpretative decision Erscheinung: from 17.12.2008 Topic Compliance Amend­ment of the pa­ram­e­ters for con­duct­ing BaFin stress tests from 2009 (Cir­cu­lar 1/2004)

In accordance with Circular 1/2004 (VA) BaFin hereby announces an amendment to the parameters for conducting stress tests stipulated in part A of the circular.

Format Interpretative decision Erscheinung: from 21.12.2007 Topic Financial analysesIn­ter­pre­ta­tion of cer­tain terms used in sec­tion 31 (2) sen­tence 4 and sec­tion 34b of the Se­cu­ri­ties Trad­ing Act in con­junc­tion with the Fi­nan­cial Anal­y­sis Reg­u­la­tion

Letter of the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) on the interpretation of certain terms used in section 31 (2) sentence 4 and section 34b of the Securities Trading Act (Wertpapierhandelsgesetz – WpHG) in conjunction with the Financial Analysis Regulation (Finanzanalyseverordnung – FinAnV)

Format Interpretative decision Erscheinung: from 01.09.2005 In­ter­pre­ta­tion of cer­tain terms from sec­tion 34b of the Ger­man Se­cu­ri­ties Trad­ing Act (Wert­pa­pier­han­dels­ge­setz - WpHG) in con­junc­tion with the Or­di­nance on the Anal­y­sis of Fi­nan­cial In­stru­ments (Fi­nan­z­anal­y­severord­nung - Fi­nAnV)

This letter serves as an explanation of the interpretation by BaFin of a number of terms that are of particular significance for the application of section 34b WpHG in conjunction with the FinAnV. The contents of section 34b WpHG, the FinAnV and this letter represent minimum requirements. Under the conditions set out in section 34b (4) WpHG, the provisions set forth in section 34b (1), (2) …

Format Interpretative decision Erscheinung: from 07.03.2003 An­nounce­ment of the Fed­er­al Fi­nan­cial Su­per­vi­so­ry Au­thor­i­ty - BaFin - con­cern­ing the in­ter­pre­ta­tion of cer­tain terms laid down in sec­tion 34b of the Se­cu­ri­ties Trad­ing Act - (WpHG)