Erscheinung:14.08.2018 | Topic Major holdings of voting rights Informationen on data processing for notifications of major holdings
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 or collects from natural persons in the context of the disclosure of voting rights notifications. To promote awareness regarding data processing and their 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 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
Fon: 0228/4108-0
Fax: 0228/4108-1550
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
Registration of submitted and published notifications of major holdings
Internal data base: Monitoring compliance with notification obligations
External data base: market information
3. Legal basis for the collection of data
Sec. 3 of the Federal Data Protection Act (BDSG); Art. 6 para. 1 lit. e) GDPR; sec. 33, 38 und 39 of the German Securities Trading Act (Wertpapierhandelsgesetz - WpHG) in connection with sec. 12 Securities Trading Reporting Regulation (Wertpapierhandelsanzeigeverordnung - WpAV).
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
10 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 the 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). Restrictions of the aforementioned rights may arise in case the data processing is required to execute or moitor compliance with statutory provisions.
8. Automated individual decision-making, including profiling
There is no automated individual decision-making.
9. Source of personal data and consequences in the event of failure to provide your personal data
See above under point 3. There is a legal obligation to provide personal data in notifications of major holdings. Incomplete notifications may be subject to an administrative fine.
