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In forceInvestment services firms: conduct (national)Last checked 11 November 2026

Annual complaints report of investment services firms (BT 12.2 MaComp)

A regulatory return listed by the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht) (BaFin), Germany.

A yearly report of complaints from clients and potential clients (including those received by tied agents): numbers by investment service and status, successful complaints, goodwill payments, court and arbitration proceedings (section A), numbers by complaint reason (section B) and staff and organisational consequences (section C). Source

Official title: Beschwerdebericht nach Art. 26 DVO zu MiFID II i.V.m. BT 12.2 MaComp

The facts

Who files
Investment services firms (Wertpapierdienstleistungsunternehmen) covered by Article 26 of Delegated Regulation (EU) 2017/565 and BaFin's MaComp, for complaints of clients within the meaning of section 67(1) WpHG and potential clients. Source
How often
Once a year, for the previous calendar year. Source
Deadline
By 1 March for the previous calendar year. Source
Format
Web form, XML. Through the MVP Portal by web form or XML file upload (procedure 'Beschwerdebericht nach Art. 26 DVO zu MiFID II'); forms are in German only. A test procedure is available. Source
How it is filed
Filing routes recorded for the BaFin: MVP Portal (Melde- und Veröffentlichungsplattform, reporting and publishing platform); Direct submission to BaFin outside the MVP Portal. See how firms file with the BaFin.
Status
In force
Legal basis
Group
Investment services firms: conduct (national)

Templates (4)

The tables and forms inside the return. Plain name first, the BaFin's code in brackets.

  • General information (reporting year, reporting date, firm and contact) (Allgemeine Angaben)
  • Complaints by investment service and processing status, successful complaints, goodwill payments, court and arbitration proceedings (Abschnitt A)
  • Complaints by reason (Abschnitt B)
  • Staff and organisational consequences of complaints (Abschnitt C)

Sections from the MVP procedure page and the template (Anlage zu BT 12.2 MaComp). Source

Validation rules

The BaFin publishes the checks it runs on this return. They could not be counted from the published material. They are written for people to read; software cannot run them as published. Source

How they are written: PDF table of field formats and mandatory fields; XML documentation for uploads.

Reports are checked technically for completeness and syntax; a web form can only be sent when complete.

The rules, on bafin.de

How they were counted

Not counted: the field formats and mandatory fields are published as a PDF table, not as numbered rules.

Counts are in the BaFin's own unit, so they are not comparable with other regulators' counts.

Public data

No published data from this return was found. No data from this return published by BaFin was found on the pages checked. Source

Official documents (7)

The BaFin's own files, with the size and SHA-256 fingerprint of each as downloaded on 11 November 2026, so anyone can tell whether a copy is the same version.

Sources

Every page and document this return's facts were read from.

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. Line4 builds SupTech software for financial regulators that runs checks like these as each return arrives.

Line4's text and records here are free to reuse under CC BY 4.0. Please credit: “Source: Line4 regulatory submissions library (CC BY 4.0), https://www.line4.ai”. The regulators' documents, forms, taxonomies, rules and data belong to them: see BaFin's reuse terms. This describes what regulators publish. It is not legal or regulatory advice: always rely on the regulator's own text.

© Federal Financial Supervisory Authority / www.bafin.de. Documents copied here are unchanged. The plain-English summaries are Line4's own; BaFin does not endorse this library.

Last checked 11 November 2026.