A case from practice – Supervisory Authority
At the end of this lecture we will ask you to solve this case. You will get the necessary information on the way.
Expert: Prof. Dr. Frank A. Schäfer
Additional Graphics/Comments
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Laws, guidelines, information sheets
- Stock Corporation Act
- Interpretation aid for the Institute Compensation Ordinance (only available in german)
- European Supervision
- Bafin´s Annual Reports
- BaFin´s Digitalisation Strategy
- European Banking Supervision
- European Central Bank - Banking Supervision: List of national webpages and forms for authorisation procedures
- German Banking Act (KWG)
- Regulation on the Supervisory Requirements for Institutions´Remuneration Systems
- Instruction sheet on dealing with sustainability risks / BaFin (20.09.2019) (only available in german)
- Minimum requirements for the compliance function and the other duties of conduct, organisation and transparency pursuant to §§ 31 et seq. WpHG for investment services companies
- Regulation and supervision in the banking sector / VÖB (only available in german)
- Publication of the new version of BT 1.3.4 of the Circular: Minimum requirements for compliance and the further duties of conduct, organisation and transparency pursuant to §§ 31 et seq. WpHG for investment services companies (MRComp) (only available in german)
- Ordinance on the auditing of the annual accounts of credit institutions and financial services institutions and on the reports to be drawn up thereon (only available in german)
- VÖB Annual Report 2018/19 (only available in german)
- BaFin-Journal - All Editions (only available in german)
- Interpretation and Application Guidance in relation to the German Money Laundering Act
- Eba´s SREP-Guidelines
- Combating money laundering and terrorist financing: First National Risk Analysis published (only available in german)
- ECB-Guidelines-Banking Supervision: Guide to fit and proper assessments
- German Commercial Code
- Consultation of the Third Ordinance amending the Notification Ordinance (only available in german)
- Information sheet on members of administrative and supervisory bodies pursuant to the German Banking Act (KWG) and the German Investment Companies Act (KAGB) (only available in german)
- Minimum Requirements for Risk Management (MaRisk)
- Press release: Code Conference 2019 discusses "Sustainable Corporate Development" (28.11.2019) (only available in german)
- Regulation and supervision in the banking sector: A3 poster/ VÖB (only available in german)
- ECB Banking Supervision publishes results of 2018
- Regulation on the supervisory requirements for remuneration systems of institutions (ony available in german)
- Ordinance on the accounting of credit institutions
and financial services institutions (KreditinstitutsRechnungslegungsverordnung - RechKredV) (only available in german) - What is the SREP?