1. Confidentiality - whose identity is being protected?

Regardless of whether it is the competent office for the report being submitted, the Contact Point for Whistleblowers ensures that the identities of all persons named remain confidential. This means that we do not forward any information about identities to external bodies.

The protection covers:

• the whistleblower’s identity if the information being reported concerns infringements that lie within the scope of the Whistleblower Protection Act or, at the time the report was submitted, the whistleblower had sufficient grounds to assume this to be the case,
• the identity of persons who are subject of a report, i.e. all persons incriminated as a result of a report, and
• the identity of other persons named in the report. These are third parties – whether involved or uninvolved – who might be colleagues, superiors or even the employers themselves. These third parties might have noted violations or might be affected by the report in some other way. As these third parties could well play an important role as the procedure unfolds, their identity must also be largely protected.

The identity of these persons may only become known to those responsible for receiving reports or for adopting further measures as well as to those supporting such persons in the fulfilment of their responsibilities. This protection ensures that the identity of all persons concerned is kept confidential at each stage of the procedure. It not only covers the identity of such persons themselves; every other item of information from which the identity of these persons may be deduced is also covered by the clause.

2. Exceptions to the principle of confidentiality

The Contact Point for Whistleblowers may forward the identity of whistleblowers and the identity of persons who are the subject of a report as well as other persons named in the report to the colleagues at the specialist divisions within BaFin.

In procedures concerning audits conducted by BaFin or concerning the accounting of undertakings to be audited under section 106 of the German Securities Trading Act (Wertpapierhandelsgesetz) (i.e. undertakings that are issuers and whose home country is the Federal Republic of Germany), the Contact Point for Whistleblowers may also forward personal data in the required extent to  

• the Auditor Oversight Body (Abschlussprüferaufsichtsstelle) at the Federal Office for Economic Affairs and Export Control,
• the Federal Ministry of Finance,
• the Federal Ministry of Justice and Consumer Protection or
• the Federal Ministry for Economic Affairs and Climate Action.

3. Exceptions to the protection of whistleblower identity

The Contact Point for Whistleblowers is obliged, despite the confidentiality provisions, to respond to requests for information relating to criminal proceedings from competent prosecuting authorities, such as public prosecutor's offices.

The identity of whistleblowers intentionally or negligently reporting incorrect information about violations is not protected.

Furthermore, information about the identity of a whistleblower or about other circumstances that allow conclusions to be drawn about the identity of this person may be forwarded to the competent office

• in criminal proceedings if required to do so by the prosecuting authorities,
• due to an order in an administrative procedure following a report, including administrative fine proceedings, or
• due to a court decision.

The Contact Point for Whistleblowers informs the whistleblower about information being forwarded, naming the reasons for this. Such information is not provided if the prosecuting authority, the competent authority or the court has notified the Contact Point for Whistleblowers that the investigations, examinations or court proceedings may be endangered if the information were to be divulged.

In addition to these cases, information about the identity of a whistleblower or about other circumstances that allow conclusions to be drawn about the identity of this person may be passed on if

• the forwarding of such information is necessary to enable further measures to be taken and
• the whistleblower has previously consented to the forwarding of such information.

The consent must be given separately and in written form for each forwarding of information.

4. Exceptions to the protection of identities of persons who are the subject of a report and of other persons named in the report

The identities of persons who are the subject of a report and of other persons named in the report may be forwarded to the competent office

• if the consent for this has been obtained,
• if this is necessary to enable further measures to be adopted,
• in criminal proceedings if required to do so by the prosecuting authorities,
• due to an order in an administrative procedure following a report, including administrative fine proceedings,
• due to a court decision.