responsibility finder
Schleswig-Holstein

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 anonymously.

The Whistleblowing Office is the central office at the Federal Financial Supervisory Authority (BaFin) for receiving information on actual or potential violations of supervisory regulations ("whistleblowing").

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

This concerns violations in the areas that BaFin supervises. For example, violations of

  • laws,
  • legal ordinances,
  • general decrees and other regulations as well as
  • legal acts of the European Union and the European supervisory authorities.

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. Nor can it support you in the enforcement of any individual claims. The civil courts are responsible for this.

The civil courts will also decide on any claims between you and your employer for compensation for losses incurred as a result of reporting to BaFin. If you are seeking legal protection due to discrimination, please contact a lawyer of your choice or another body authorized to provide legal advice.


Process flow

You can provide specific information to the whistleblowing office via the electronic whistleblowing system, by post, by e-mail, by telephone or in person. If you wish to remain anonymous, please ensure that you do not provide any personal information in all communication channels. Processing will always be confidential.

Electronic whistleblower system:

  • Open the whistleblower system of the Federal Financial Supervisory Authority.
  • 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 online form. 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 (e.g. PC, laptop, smartphone) 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 the whistleblower office of the Federal Financial Supervisory Authority.
  • BaFin will check your report.

By e-mail:

  • Describe the violations in an informal letter.
  • Send the letter to the e-mail address of the whistleblower office of the Federal Financial Supervisory Authority.
  • BaFin will check your report.

By telephone:

  • Dial the number of the whistleblower office of the Federal Financial Supervisory Authority.
  • Describe your concern.

In person

  • Arrange an appointment by telephone.
  • Visit the whistleblower office of the Federal Financial Supervisory Authority in Bonn and describe the violations in person.
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 for you.

What deadlines do I have to pay attention to?

There are no deadlines for you.

Processing duration

You will regularly receive a confirmation of receipt from BaFin within 3 working days.
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 once the procedure has been completed. Due to the very different reports, BaFin asks for your understanding that no standard processing time can be specified.

Legal basis
Appeal

There are no legal remedies.

Applications / forms

Forms: yes
Online procedure possible: yes
Written form required: no
Personal appearance required: no

Author
Forwarding service: Deep link to the original portal

The text was automatically translated based on the German content.

Technically approved by

Federal Ministry of Finance

Professionally released on

06.08.2021

Teaser

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

Process flow

You can provide specific information to the whistleblowing office via the electronic whistleblowing system, by post, by e-mail, by telephone or in person. If you wish to remain anonymous, please ensure that you do not provide any personal information in all communication channels. Processing will always be confidential.

Electronic whistleblower system:

  • Open the whistleblower system of the Federal Financial Supervisory Authority.
  • 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 online form. 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 (e.g. PC, laptop, smartphone) 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 the whistleblower office of the Federal Financial Supervisory Authority.
  • BaFin will check your report.

By e-mail:

  • Describe the violations in an informal letter.
  • Send the letter to the e-mail address of the whistleblower office of the Federal Financial Supervisory Authority.
  • BaFin will check your report.

By telephone:

  • Dial the number of the whistleblower office of the Federal Financial Supervisory Authority.
  • Describe your concern.

In person

  • Arrange an appointment by telephone.
  • Visit the whistleblower office of the Federal Financial Supervisory Authority in Bonn and describe the violations in person.

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 for you.

What deadlines do I have to pay attention to?

There are no deadlines for you.

Processing duration

You will regularly receive a confirmation of receipt from BaFin within 3 working days.
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 once the procedure has been completed. Due to the very different reports, BaFin asks for your understanding that no standard processing time can be specified.

Legal basis

Appeal

There are no legal remedies.

Applications / forms

Forms: yes
Online procedure possible: yes
Written form required: no
Personal appearance required: no

Author

Forwarding service: Deep link to the original portal

The text was automatically translated based on the German content.

Technically approved by

Federal Ministry of Finance

Professionally released on

06.08.2021

Further information and offers