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 the ban on uncovered short sales pursuant to Article 12 et seq. of Regulation (EU) No 236/2012 (EU Short Selling Regulation)

3. Legal basis for the collection of data

Article 6(1)(e) of the GDPR, Section 23 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG); EU Short Selling Regulation

4. Categories of processed personal data

The personal data held about you or a third party include in particular:
Names, date of birth, address details, contact details, securities account number, customer identification number.

5. 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.

6. Recipient of data

The data are processed within BaFin only.

7. Time period for storing your data

5 years

8. 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).

9. Automated individual decision-making, including profiling

There is no automated individual decision-making.

10. Source of personal data

Investment services enterprises, other credit institutions, asset management companies and operators of off-exchange markets on which financial instruments are traded. The data source is not generally accessible.

11. Source of personal data

There is a legal obligation to report to BaFin. The failure to provide personal data results in an incomplete report. Incomplete reports are subject to an administrative fine.