| Source/Date | Brief description |
|---|---|
| BaFin 09/05/2018 |
The BaFin published Circular (Rundschreiben) on high-risk third countries under money laundering aspects The BaFin published a Circular on third countries whose systems for the prevention of money laundering and terrorist financing have strategic deficiencies which pose material risks for the international financial system (Rundschreiben 07/2018 (GW) betreffend Drittstaaten, die in ihren Systemen zur Bekämpfung von Geldwäsche und Terrorismusfinanzierung strategische Mängel aufweisen, die wesentliche Risiken für das internationale Finanzsystem darstellen (Hochrisiko-Staaten)). For further information in German, click here. |
| BaFin 09/05/2018 |
The BaFin has published its list of supervisory focus areas for 2018 For further information in German, click here. |
| BaFin 08/05/2018 |
The BaFin published translations of ESMA Q&A on MiFID II and MiFIR For further information in German, click here. |
| BaFin 04/05/2018 |
Complaint management: BaFin Circular The BaFin has published a Circular on the Minimum Requirements for Complaint Management (Rundschreiben – Mindestanforderungen an das Beschwerdemanagement). For further information in German, click here. |
| BaFin 03/05/2018 |
Annual report on the financial services supervision in 2017 The BaFin published its annual report on the financial services supervision in 2017. For further information in German, click here |
| BaFin 26/04/2018 |
Deposit business: BaFin consults circular (Rundschreiben) The BaFin consults its circular on the minimum requirements on custody business (Mindestanforderungen an das Depotgeschäft – MaDepot). For further information in German, click here. |
| Ministry of Finance 24/04/2018 |
Draft law (Referentenentwurf): Law harmonsing financial services rules and regulations with Regulation (EU) 2017/2402 and Regulation (EU) 575/2013 (Gesetz zur Anpassung von Finanzmarktgesetzen an die Verordnung (EU) 2017/2402 und an die durch die Verordnung (EU) 2017/2401 geänderte Verordnung (EU) Nr. 575/2013) The draft law is meant to harmonize financial services rules and regulations with two EU Regulations regulating securitizations. For further information in German, click here. |
| BaFin 23/04/2018 |
Central securities depositaries (Zentralverwahrer): The BaFin wird apply further Guidelines issued by the ESMA For further information in German, click here. |
| BaFin4 19/04/2018 |
MaComp: The BaFin updates Circular (Rundschreiben) The BaFin has updated its Circular on Minimum Requirements on the Compliance-Function and further Conduct of Business, Organizational and Transparency Requirements for Investment Firms (MaComp) (Rundschreiben zu den Mindestanforderungen an die Compliance-Funktion und weitere Verhaltens-, Organisations- und Transparenzpflichten für Wertpapier-dienstleistungsunternehmen (MaComp)). For further information in German, click here. |
| BaFin 03/04/2018 |
Liquidity: The BaFin consults Draft General Ruling (Entwurf einer Allgemeinverfügung) in respect of the Liquidity Coverage Ratio (LCR) For further information in German, click here. |
| BaFin April 2018 |
Publication of the monthly journal from the Federal Financial Supervisory Authority Topics (selection): Interview with Dr. Thorsten Pötzsch / Cloud-Computing / IT-Security. For further information in German, click here. |
| BaFin 15/03/2018 |
Prevention of Money Laundering: BaFin consults Guidance under the Money Laundering Act (Geldwäschegesetz) For further information in German, click here. |
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