Posts tagged with: "bafin"
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17 Aug 2009, 6:51 am
BaFin Adopts New Risk Management and Executive Compensation RegulationsIn light of the financial crisis, and in reaction to the G-20 mandate, The German Federal Financial Supervisory Authority (BaFin) has adopted new regulations for risk management and executive compensation at banks and other financial institutions. [read post]
13 Aug 2021, 2:52 pm
Hedge fund and short seller whistleblowers can submit information anonymously via BaFin’s electronic system, enabling BaFin to constantly monitor and act upon allegations, rather than ignoring and silencing such tips (which BaFin was accused of doing during the Wirecard scandal). [read post]
3 Feb 2011, 8:26 am
BaFin recommends that financial institutions draw their customers’ attention to the General Decree. [read post]
19 Dec 2012, 12:23 pm
In particular, under the draft High Frequency Trading Act, BaFin could require from the firms a description of their algorithmic trading strategies and the specifics of the trade parameters or trade limits. [read post]
1 Jun 2017, 12:41 am
In its Circular 5/2017 (Money Laundering) of 24 May 2017 BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has commented on appropriate business-related safety systems within the meaning of section 25h para. 1 sentence 1 KWG (German Banking Act). [read post]
24 Mar 2017, 2:04 am
Current view of the BaFin These new requirements for IT-compliance for financial service providers was also the main topic at a recent conference held by the BaFin on 16 March 2017. [read post]
9 Jun 2017, 12:24 am
BaFin also explained how the prospectus approval process works within the regulator and how documents can be submitted to BaFin electronically. [read post]
13 Nov 2017, 2:17 am
BaFin has issued a warning regarding the risks of initial coin offerings. [read post]
12 Apr 2018, 2:31 am
The BaFin states in the advisory letter that the decisive factor is which rights are associated with the respective token. [read post]
13 Jul 2017, 2:37 am
So far BaFin has not reported a breach of the self-commitment. [read post]
25 Apr 2017, 3:11 am
On 10 April, BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) issued a new Circular (Circular 03/2017) on anti-money laundering (AML) related requirements of video identification procedure. [read post]
2 Jun 2017, 5:50 am
The finalised agenda will be published on BaFin’s web site one week prior to the workshop at the latest. [read post]
29 Mar 2017, 2:31 am
According to BaFin the InstitutsVergV, will come into force in the second quartile 2017. [read post]
6 Dec 2017, 3:01 am
BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has now issued a guidance notice for the purpose of giving early information on the future scope of application of the ZAG, in particular information on the payment services (section 1 para. 1 sentence 2 ZAG), the exemptions (section 2 para. 1 ZAG), the e-money business (section 1 para. 2 sentences 2 to 4 ZAG), the activities authorised for institutions (section 3 ZAG), the obligation for payment and… [read post]
18 Dec 2018, 8:16 am
7 (2) GwG, BaFin seems to follow a restrictive line: With respect to obliged entities with more than fifteen employees, in “groups of companies” (Unternehmensgruppen) and in case of “cross-border business structures” (grenzüberschreitenden Unternehmensstrukturen), BaFin generally assumes an adverse risk of losing information conflicting with an exemption. [read post]
5 Dec 2017, 2:09 am
Consequently, BaFin initially deferred the planned prohibition. [read post]
1 Jun 2017, 12:50 am
BaFin gives the opportunity to comment on both drafts until 19 June 2017. [read post]
28 Jul 2017, 9:21 am
In addition, BaFin has published comments on the draft WpDPV and WpHGMaAnzV. [read post]
10 May 2017, 2:48 am
In total, BaFin received 30 responses during the formal consultation procedure. [read post]
6 Aug 2018, 12:57 am
On 16 July 2018, the BaFin published a speculative study addressing the technological developments of big data (BD) analytics and artificial intelligence (AI). [read post]
