Mängel in der Geldwäscheprävention: Bafin verwarnt Geschäftsleiter
RegCanary analysis of a BAFIN publication
Why it matters
RegCanary's analysis of what this means for regulated firms.
The action, rooted in serious and sustained deficiencies in business organization under §33 WpIG, signals that compliance teams must ensure AML/CTF prevention is not just a paper exercise but an integral part of risk management and internal controls. Firms should reassess their governance structures, staffing, and technology resources dedicated to financial crime prevention. The finalization of the notices on September 25, 2026, sets a precedent for enforcement.
Actionable steps include conducting a gap assessment against BaFin's expectations, enhancing senior manager training, and documenting the adequacy of AML controls. Proactive engagement with regulators and investment in RegTech solutions can mitigate risks and demonstrate commitment to compliance.
Who this affects
Sectors and firm types identified in the analysis.
- General Regulation
Source
BAFIN
Original publication, 20 October 2026
Read the original publication bafin.deThis is RegCanary's analysis, not the regulator's text. It summarises and interprets the publication above; it is not the BAFIN's original wording, and it is not legal advice. Always rely on the original source.