GE BaFin issued consultation (PDF) re national implementation of Digital Operational Resilience Act (DORA) on audit regulations connected to securities and crowdfunding.
GE BaFin proposes a draft regulation amending Securities Institution Audit Report (WpIPrufbV), and Crowdfunding Service Provider Audit (SchwarmfdPV) regulations.
Primary aim of amendments is to ensure that compliance with requirements of DORA regulations is taken into account or checked in annual supervisory audits.
Changes to the two legal regulations are summarized in this framework regulation.
Alternatively, two individual amendment regulations could have been issued, but GE BaFin decided on a consolidated framework that is appropriate for procedural reasons.
Effectiveness
Comments can be submitted by Dec. 27, 2024.
Regulators
GE BaFin
Entity Types
Auditor; Bank; IA; Inv Co; MSB
Reference
CP 11/2024, PR, 12/6/2024; DORA Dir 2022/2556, Reg 2022/2554; WpIPrufbV (GE); SchwarmfdPV (GE)
