Whistleblower protection; transmission of information on violations in the financial services sector

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

Description

Prerequisites

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

Procedure

You can provide specific information to the whistleblowing unit via the electronic whistleblowing system, by post, by e-mail, by telephone or in person. If you wish to remain anonymous, please ensure in all communication channels that you do not transmit any information about yourself. In all cases, processing will be confidential.

Electronic Whistleblower System:

  • Open the whistleblower system of the Federal Financial Supervisory Authority.
  • Click on "Submit a 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 draw conclusions about you, such as your relationship to the parties involved.
    • Make sure you have a secure Internet connection, represented by the lock symbol next to the address line.
    • If possible, go directly to the server by setting a bookmark from the introduction page and use it.
    • If possible, do not use any technical device (e.g. PC, laptop, smartphone) provided by your employer. An intranet connection in particular can jeopardise your anonymity.
  • Submit the form online.
  • BaFin will check your notification.

By mail:

  • Describe the violations in an informal cover letter.
  • Send the letter to the Whistleblower Unit of the Federal Financial Supervisory Authority.
  • BaFin will review your report.

By e-mail:

  • Describe the violations in an informal cover letter.
  • Send the letter to the e-mail address of the Whistleblower Unit of the Federal Financial Supervisory Authority.
  • BaFin will review your report.

By telephone:

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

In person

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

Deadlines

There are no deadlines for you.

Processing time

You will regularly receive an acknowledgement 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 after completion of the procedure. Due to the very different notifications, BaFin asks for your understanding that no standard processing time can be given.

Required documents

  • Required Documents

    You do not have to submit any documentation. If you have documentation to support references, you can submit them.

Online procedures

Fees

  • There are no costs for you.

Remedy

There are no legal remedies.

Status:28.10.2023

Responsible for editing:Bundesministerium der Finanzen

  • Online transactions, Bavaria-wide
  • Online transactions, locally limited
  • Form, Bavaria-wide
  • Form, locally limited
  • Prefillable Form, Bavaria-wide
  • Legal bases, Bavaria-wide
  • Legal bases, locally limited
  • Fees, Bavaria-wide
  • Fees, locally limited
Information

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