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Stand:updated on 15.05.2019 | Topic Market manipulation, Insider monitoring Market abuse

Market abuse

In­sid­er surveil­lance

Using inside information is prohibited and deemed a criminal offence. In order to detect insider trading, BaFin analyses data on all securities transactions that banks, for instance, have to report. It also analyses ad hoc notifications and follows up on information from third parties.

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Mar­ket ma­nip­u­la­tion

Market abuse harms the integrity of financial markets and public confidence in their functioning. Market manipulation is a form of market abuse. In order to protect the financial markets, market manipulation is therefore prohibited. It is one of BaFin's main functions to detect and investigate cases of market manipulation.

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In­vest­ment and in­vest­ment strat­e­gy rec­om­men­da­tions

Investment decisions are frequently based on investment and investment strategy recommendations. High standards are required in this area in order to uphold investor confidence. These standards concern the objectivity, care and identity of those preparing and disseminating investment and investment strategy recommendations.

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Publications on this topic

Format News Erscheinung: from 01.04.2025 In­vest­ment rec­om­men­da­tions for shares in What­sApp groups – BaFin urges cau­tion

According to information available to the Federal Financial Supervisory Authority (BaFin), shares are currently being recommended for purchase in WhatsApp groups. Specifically, this includes shares in Canaan Inc. (ISIN: US1347481020).

Format Article Erscheinung: from 29.01.2022 BaFin may in­form the pub­lic based on in­di­ca­tions of pos­si­ble mar­ket ma­nip­u­la­tion

The courts confirm: if Germany’s financial supervisor has indications of possible market manipulation, it may inform the public about this and need not wait until proof of market manipulation has been established.

Format Article Erscheinung: from 01.08.2016 Whistle­blow­ers: Cen­tral point for dis­clo­sures about vi­o­la­tions of su­per­vi­so­ry law es­tab­lished

As announced in the June edition of the BaFinJournal, BaFin opened its contact point for whistleblowers on 2 July. So-called whistleblowers – persons with a special knowledge of a company's internal affairs, for example because they are employed there or have some other contractual relationship or relationship of trust with the company – can use it to inform BaFin about actual or suspected …

Attachments

Format Article Erscheinung: from 04.05.2015 Mar­ket ma­nip­u­la­tion: Pre-ar­ranged trades and wash sales - Im­por­tant in­for­ma­tion for in­vestors

Trading securities to gain would-be tax advantages could boomerang back to investors if the transactions involve pre-arranged trades or wash sales.

Format Form Erscheinung: from 08.05.2012 Stand: , updated on 11.06.2025 Ap­pli­ca­tion for ar­bi­tra­tion - for dis­putes in con­nec­tion with the reg­u­la­tions of the Ger­man In­vest­ment Code (Kap­i­ta­lan­lagege­set­zbuch – KAGB) and with bank­ing busi­ness and fi­nan­cial ser­vices with­in the mean­ing of sec­tion 1 (1) sen­tence 2 of the Ger­man Bank­ing Act (Kred­itwe­sen­ge­setz – KWG) and sec­tion 1 (1a) sen­tence 2 of the KWG - pro­vid­ed that no pri­vate, recog­nised dis­pute res­o­lu­tion en­ti­ty is re­spon­si­ble.

Arbitration form > Please note that the language of the arbitration procedure is German and your application needs to be submitted in German to be accepted by the arbitrators.

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