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March 19, 2013

BaFin publishes notification forms for non-financial counterparties

Following in the footsteps of the FSA BaFin has now published the German equivalent of EMIR-relevant notification forms. The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht) (BaFin) has published the notification forms for non-financial counterparties exceeding or no longer exceeding the clearing threshold under the regulation on over the counter derivatives, central counterparties and trade repositories (EMIR). A non-financial counterparty that enters into positions in OTC derivatives contracts that exceed the clearing thresholds specified under Article 11 of Regulation (EU) No 149/2013 must notify its competent authority under Article 10(1) of EMIR. Non-financial counterparties are required to notify BaFin that they have breached, or no longer exceed, the clearing threshold from 15 March 2013.

  • Find the BaFin notification forms here. (In German)
  • And the FSA notification here. (In English)
  • And for all Germans reading this page (or those nonetheless interested in it): the BaFin EMIR page (in German)

Tom R.


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