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Schleswig-Holstein

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Reporting violations in the financial services sector

Source: Zuständigkeitsfinder Schleswig-Holstein (Linie6Plus)

Service Description

If you have information about violations in the financial services sector, you can contact the whistleblower office of the Federal Financial Supervisory Authority (BaFin) anonymously.

The whistleblower office of the Federal Financial Supervisory Authority (BaFin) accepts information on actual or potential violations of supervisory regulations.

If you have information about violations, you can contact BaFin's whistleblowing office confidentially or report them anonymously via the electronic whistleblowing system. This is also known as "whistleblowing".

It concerns violations in the areas that BaFin supervises. In addition to banks, financial service providers, payment and e-money institutions, BaFin also supervises private insurance companies and pension funds. It is also responsible for the supervision of capital management companies and securities trading. BaFin ensures that the companies it supervises comply with the applicable requirements for the prevention of money laundering and terrorist financing.

BaFin asks for your understanding that the feedback and the notification of results can only contain information that is compatible with BaFin's confidentiality or non-disclosure obligations. BaFin is also unable to assist you in enforcing any individual claims. The civil courts are responsible for this.

The civil courts will also decide on any claims between your employer and you for compensation for losses incurred as a result of the report to BaFin. Contact a law firm of your choice or another body authorized to provide legal advice if you are seeking legal protection due to discrimination.


Process flow

You can report specific information to the Whistleblower Office of the Federal Financial Supervisory Authority (BaFin) via the following communication channels:

  • Electronic whistleblower system
  • by post
  • online form
  • by telephone
  • in person.

BaFin's whistleblower office will process your case confidentially in all cases.


Electronic whistleblower system:

  • Open the BaFin whistleblower system.
  • Click on "Submit report" or log in by clicking on "Login" if you have already set up an electronic mailbox.
  • Follow the steps in the reporting form displayed. If you wish to remain anonymous:
    • Do not enter any personal data, for example your name. Also do not enter any data that could be used to identify you, such as your relationship with the parties involved.
    • Pay attention to the secure Internet connection, indicated by the lock symbol next to the address bar.
    • If possible, go directly to the server by setting a bookmark from the introductory page and using it.
    • If possible, do not use a technical device such as a computer, laptop or cell phone provided by your employer. An intranet connection in particular can jeopardize your anonymity.
  • Submit the form online.
  • BaFin will check your notification.

By post:

  • Describe the violations in an informal letter.
  • Send the letter to BaFin's whistleblower office.
  • BaFin will check your report.

By online form:

  • Follow the steps in the online form. If you wish to remain anonymous:
    • Do not enter any personal data, for example your name. Do not enter any data that could be used to identify you, for example your relationship with the parties involved.
    • Pay attention to the secure Internet connection, indicated by the lock symbol next to the address bar.
    • If possible, go directly to the server by setting a bookmark from the introductory page and using it.
    • If possible, do not use a technical device such as a computer, laptop or cell phone provided by your employer. An intranet connection in particular can jeopardize your anonymity.
  • Submit the form online.
  • BaFin will check your notification.

By telephone:

  • Dial the number of BaFin's whistleblower office.
  • Describe your concern.
  • BaFin will check your report.

In person:

  • Arrange an appointment by telephone.
  • Visit the BaFin whistleblowing office in Bonn and describe the violations in person.
  • BaFin will examine your report.
Requirements

You want to report information about violations in the financial services sector and be protected as a whistleblower.

Which documents are required?

You do not have to submit any documents. If you have documents that provide evidence, you can submit them.

What are the fees?

There are no costs.

What deadlines do I have to pay attention to?

There is no deadline.

Processing duration

Processing time: 7 Days
You will receive a confirmation of receipt from BaFin within 7 days.

Processing time: 3 - 6 Months
As a rule, BaFin will provide you with feedback on the processing status within 3 months, in particularly extensive cases within 6 months, and will inform you of the result after completion of the procedure, insofar as this is compatible with statutory confidentiality obligations.

Legal basis
Appeal
  • Action before the administrative court
Weiterführende Informationen
Author
Forwarding service: Deep link to the original portal

Federal Financial Supervisory Authority (BaFin)

The text was automatically translated based on the German content.

Teaser

If you have information about violations in the financial services sector, you can contact the whistleblower office of the Federal Financial Supervisory Authority (BaFin) anonymously.

Process flow

You can report specific information to the Whistleblower Office of the Federal Financial Supervisory Authority (BaFin) via the following communication channels:

  • Electronic whistleblower system
  • by post
  • online form
  • by telephone
  • in person.

BaFin's whistleblower office will process your case confidentially in all cases.


Electronic whistleblower system:

  • Open the BaFin whistleblower system.
  • Click on "Submit report" or log in by clicking on "Login" if you have already set up an electronic mailbox.
  • Follow the steps in the reporting form displayed. If you wish to remain anonymous:
    • Do not enter any personal data, for example your name. Also do not enter any data that could be used to identify you, such as your relationship with the parties involved.
    • Pay attention to the secure Internet connection, indicated by the lock symbol next to the address bar.
    • If possible, go directly to the server by setting a bookmark from the introductory page and using it.
    • If possible, do not use a technical device such as a computer, laptop or cell phone provided by your employer. An intranet connection in particular can jeopardize your anonymity.
  • Submit the form online.
  • BaFin will check your notification.

By post:

  • Describe the violations in an informal letter.
  • Send the letter to BaFin's whistleblower office.
  • BaFin will check your report.

By online form:

  • Follow the steps in the online form. If you wish to remain anonymous:
    • Do not enter any personal data, for example your name. Do not enter any data that could be used to identify you, for example your relationship with the parties involved.
    • Pay attention to the secure Internet connection, indicated by the lock symbol next to the address bar.
    • If possible, go directly to the server by setting a bookmark from the introductory page and using it.
    • If possible, do not use a technical device such as a computer, laptop or cell phone provided by your employer. An intranet connection in particular can jeopardize your anonymity.
  • Submit the form online.
  • BaFin will check your notification.

By telephone:

  • Dial the number of BaFin's whistleblower office.
  • Describe your concern.
  • BaFin will check your report.

In person:

  • Arrange an appointment by telephone.
  • Visit the BaFin whistleblowing office in Bonn and describe the violations in person.
  • BaFin will examine your report.

Requirements

You want to report information about violations in the financial services sector and be protected as a whistleblower.

Which documents are required?

You do not have to submit any documents. If you have documents that provide evidence, you can submit them.

What are the fees?

There are no costs.

What deadlines do I have to pay attention to?

There is no deadline.

Processing duration

Processing time: 7 Days
You will receive a confirmation of receipt from BaFin within 7 days.

Processing time: 3 - 6 Months
As a rule, BaFin will provide you with feedback on the processing status within 3 months, in particularly extensive cases within 6 months, and will inform you of the result after completion of the procedure, insofar as this is compatible with statutory confidentiality obligations.

Legal basis

Appeal

  • Action before the administrative court

Weiterführende Informationen

Author

Forwarding service: Deep link to the original portal

Federal Financial Supervisory Authority (BaFin)

The text was automatically translated based on the German content.

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