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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.

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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).

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 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 …

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.

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