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Search results 1 to 20 from a total of 57 for search item " "
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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)
Guidance Notice 01/2023 (VA) on Aspects of Conduct of Business Supervision for Savings Products
This translation is furnished for information purposes only. The original German text is binding in all respects.
Attachments
Topic Authorisation requirementsGuidance Notice: The statutory definition of the operation of a multilateral trading facility in accordance with section 1 (1a) sentence 2 no. 1b of the German Banking Act (Kreditwesengesetz – KWG)
Guidance Notice: The statutory definition of the operation of a multilateral trading facility in accordance with section 1 (1a) sentence 2 no. 1b of the German Banking Act (Kreditwesengesetz – KWG)
(Version dated: May 2023)
Guidance Notice 03/2022 (VA)
The taking into account of the costs and expenses for the valuation of technical provisions under Solvency II in life insurance and accident insurance with premium refund (This translation is furnished for purposes only. The original German text is binding in all respects).
Topic Recovery/resolutionGuidance Notice External Bail-in Execution
Guidance Notice External Bail-in Execution (July 2022)
Topic Recovery/resolutionGuidance Notice External Bail-in Execution (Amendment Version)
Date: 22. July 2022
Guidance notice for the authorisation of insurance joint-stock companies for the pursuit of life insurance business
Guidelines for the authorisation of German insurance joint-stock companies for the pursuit of life insurance business as primary insurance undertakings in the Federal Republic of Germany
Topic ProspectusesScrutiny of securities prospectuses for comprehensibility
Guidance Notice
Topic Recovery/resolutionGuidance Notice on the treatment of certain liabilities of CRR institutions under insolvency law
Guidance Notice
Topic Authorisation requirementsGuidelines on applications for authorisation for crypto custody business
These guidelines provide undertakings intending to submit an application for authorisation for crypto custody business within the meaning of section 1 (1a) sentence 2 no. 6 of the KWG with initial guidelines on the aspects, which BaFin considers to be particularly important for the authorisation process.
Topic Authorisation requirementsGuidance notice – guidelines concerning the statutory definition of crypto custody business (section 1 (1a) sentence 2 no. 6 of the German Banking Act (Kreditwesengesetz – KWG)
Guidance notice – guidelines concerning the statutory definition of crypto custody business (section 1 (1a) sentence 2 no. 6 of the German Banking Act (Kreditwesengesetz – KWG)
Topic Sustainability, Risk managementGuidance Notice on Dealing with Sustainability Risks
Guidance Notice on Dealing with Sustainability Risks
Topic MeasuresInformation sheet BaFin Securities Supervision’s settlement procedure for administrative fine proceedings
Administrative fine proceedings can be concluded by a negotiated agreement (settlement). A specific condition for this is that the party concerned or the secondary participant actually committed the offence and admits it.
As a rule, a settlement expedites and shortens the administrative fine proceedings, which require complex investigations and significant resources. Additionally, it also results …
Guidance on outsourcing to cloud service providers
The Guidance represents a joint assessment by BaFin and the Deutsche Bundesbank of outsourcing to cloud service providers. It is addressed to credit institutions, financial services institutions, insurance undertakings, pension funds, investment services enterprises, capital management companies, payment institutions and e-money institutions.
The Guidance does not, however, establish any new …
Topic Consumer protectionSupervisory treatment of individual features of corporate bonds under the PRIIPs Regulation
Guidance Notice
Reinsurers from the USA to carry out reinsurance business with primary insurance or reinsurance undertakings in Germany
The EU and the USA have signed a bilateral agreement that, among other things, will make it possible for reinsurers from the USA to carry out reinsurance business with primary insurance or reinsurance undertakings in the EU without a branch being required in the relevant EU member state (“Bilateral Agreement between the European Union and the United States of America on prudential measures …
Topic AuthorisationThe 'general good' rules applicable to insurance distribution by insurance undertakings in Germany ('General good' rules - Art. 11 IDD)
Pursuant to Article 11(1) of Directive (EU) 2016/97 of the European Parliament and of the Council of 20 January 2016 on insurance distribution (IDD), Member States shall ensure appropriate publication by their competent authorities of the relevant national legal provisions protecting the general good, including information about whether and how the Member State has chosen to apply the stricter …
Topic AuthorisationGeneral Good Requirements in Germany
In accordance with Section 61 (5) sentence 1 VAG, BaFin continuously informs the supervisory authorities of the other EU/EEA member states of such legal provisions that insurance companies domiciled in these states have to follow if carrying out business activities through a branch or by the provision of services (business activity pursuant to Section 61 (1) VAG) and the compliance with which is …
Topic Investment fundsGuidance notice for marketing according to § 320 KAGB
Guidance notice for notifications of the intention to market units or shares of EU AIFs or foreign AIFs to retail investors in the Federal Republic of Germany in accordance with section 320 of the German Investment Code (Kapitalanlagegesetzbuch – KAGB)
Contractual recognition of temporary suspension of termination rights
Please note: This is a non-binding convenience translation provided for information purposes only.