Erscheinung:04.07.2018, Stand:updated on 29.07.2019 | Topic Compliance Information on data processing for managers’ transactions
The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) processes personal data to meet its legal and (pre-)contractual obligations. This also includes data which BaFin collected from you. To promote awareness regarding data processing and your rights and to comply with its duty to provide information in accordance with Article 13 of the EU General Data Protection Regulation (GDPR), BaFin informs you as follows:
1. Contact details for BaFin and BaFin’s Data Protection Officer
Bundesanstalt für Finanzdienstleistungsaufsicht
Graurheindorfer Str. 108
53117 Bonn
Postfach 1253
53002 Bonn
Phone: +49 (0)228 / 4108 – 0
Fax: +49 (0)228 / 4108 – 1550
E-Mail: poststelle@bafin.de oder De-Mail: poststelle@bafin.de-mail.de
BaFin’s Data Protection Officer can be reached at: Datenschutz@bafin.de
2. Purpose of processing
Monitoring of transparency requirements; recording of managers’ transactions subject to the notification requirement under Article 19 of Regulation (EU) No 596/2014 (Market Abuse Regulation – MAR)
3. Legal basis for the collection of data
Article 6(1)(e) of the GDPR; Article 19 of MAR
4. Intention to transfer the personal data to recipients in a third country or to an international organisation
BaFin does not intend to transfer your data to a recipient in a third country (non-EU member states and countries outside the European Economic Area) or to an international organisation.
5. Recipient of data
The data are processed within BaFin only.
6. Time period for storing your data
5 years
7. Your rights as a data subject
In principle, as a data subject, you have the right of access to personal data (Article 15 of the GDPR), the right to rectification (Article 16 of the GDPR), erasure (Article 17 of the GDPR) and restriction of processing (Article 18 of the GDPR), the right to data portability (Article 20 of the GDPR) and the right to object to the processing (Article 21 of the GDPR). Moreover, you have a right to lodge a complaint with the data protection authority competent for BaFin, i.e. the Federal Commissioner for Data Protection and Freedom of Information (Bundesbeauftragte(r) für den Datenschutz und die Informationsfreiheit – BfDI).
8. Automated individual decision-making, including profiling
There is no automated individual decision-making.
9. Source of personal data
There is a legal obligation to notify BaFin of managers’ transactions. The failure to provide personal data results in an incomplete notification. Incomplete notifications are subject to an administrative fine.
