The 4th MaRisk Amendment

25. March 2013

BaFin reacts on European regulatory initiatives with new requirements for banks

Based on several European regulatory banking initiatives (Level-Playing-Field-Approach) the German Federal Financial Supervisory Authority (“BaFin”), published after the 3rd amendment in 2010 the fourth revision of the MaRisk ("Minimum Requirements for Risk Management in Banks") on 14th December 2012.

Under the fourth MaRisk amendment especially the regulations of the following areas are substantially affected:

  • Risk-Controlling-Function
  • Compliance-Function
  • Internal change processes
  • Risk-Bearing-Capacity
  • Liquidity Risk Management

In particular new standards regarding the bank’s internal governance require an assessment of established structures and processes. An increasing responsibility of the neutral Compliance-Function implicates numerous impacts on organisational structures and work flows.

We will be pleased to support you by assuring transparency over the extended requirements and by identifying a structured action plan. You can benefit from our extensive expertise in implementating solutions within Risk and Compliance Management.

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