Regulatory AlertsSecurities & Capital Markets regulation in Germany
Securities issuance, funds, brokers and capital-markets regulation across jurisdictions. 15 publications, summarized in English and updated same-day.
2026-05-19
Supervisory Statement 3/2026 (WA): Level I-compliant interpretation of Delegated Regulation (EU) 2019/980 for securities prospectuses
Germany
BAFIN
2024-07-25
Guidance Notice on Marketing Under Section 329 of the German Investment Code (KAGB)
Germany
BAFIN
2024-07-25
Guidance Notice for Marketing According to § 320 KAGB
Germany
BAFIN
2023-05-16
Statutory Definition of Multilateral Trading Facility Operations Under the German Banking Act (KWG)
Germany
BAFIN
2021-08-17
Scrutiny of Securities Prospectuses for Comprehensibility
Germany
BAFIN
2019-09-19
Supervisory Treatment of Individual Features of Corporate Bonds Under the PRIIPs Regulation
Germany
BAFIN
2019-03-21
Circular 5/2018 on Minimum Requirements for the Compliance Function and Rules of Conduct under Sections 63ff. of the Securities Trading Act
Germany
BAFIN
2018-01-16
Guidance Notice on Marketing Pursuant to Section 329 of the Investment Code (KAGB)
Germany
BAFIN
2013-07-23
Guidance Notice on the Marketing of AIFs Pursuant to Section 331 of the Investment Code (KAGB)
Germany
BAFIN
2013-07-23
Guidance Notice on Marketing EU AIFs and Domestic Special AIFs to Professional Investors under Section 323 KAGB
Germany
BAFIN
2013-07-22
Guidance Notice on Marketing of EU UCITS in Germany
Germany
BAFIN
2013-06-24
Interpretation of "Offer of Securities to the Public" Under Section 2 No. 4 of the Securities Prospectus Act for Secondary Market Trading
Germany
BAFIN
2012-08-31
BaFin Guidance Notice on Notification of Market Making and Primary Market Operations under Article 17 of the EU Short Selling Regulation
Germany
BAFIN
2007-12-21
BaFin Letter on the Interpretation of Financial Analysis Terms under Sections 31 and 34b of the Securities Trading Act
Germany
BAFIN
2005-09-01
BaFin Interpretation of Terms in Section 34b WpHG and FinAnV
Germany
BAFIN