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Topic Employee and Complaints Register Complaints statistics for individual undertakings

Article from the Annual Report 2016 of the BaFin

Explanatory notes on the statistics

Life insurance

Health insurance

Motor vehicle insurance

General liability insurance

Accident insurance

Household contents insurance

Residential building insurance

Legal expenses insurance

Insurances based in the EEA

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Publications on this topic

Format Article Erscheinung: from 16.07.2013 05:46 PM In­vest­ment ad­vice min­utes and the Em­ploy­ee and Com­plaints Reg­is­ter in su­per­vi­so­ry prac­tice

There have been a lot of changes to the way investment advice is regulated over the past few years. The fact that securities investment advice is a service that requires a particularly high level of trust was only one driver for this. In addition, providing investment advice is an extremely complex process, which means that it is prone to error and therefore has significant potential to …

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1 November 2012 saw the launch of the new employee and complaints register which was set up to protect investors against negligent advice. Managed by the Federal Financial Supervisory Authority (BaFin), the register collects information such as customer complaints about investment advisers. This will allow the Supervisory Authority to take a swifter and more risk-oriented approach to …

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