Bußgelder für fehlende Informationspflichten
Definition
In Germany, the US Form ADV Part 2 process maps to MiFID II PRIIPs/KID and WpHG disclosure mandates, requiring narrative brochures on fees, conflicts, and personnel. Non-delivery or incomplete brochures trigger BaFin enforcement with fines up to €5M or 5% turnover. Manual handling causes errors in updates and delivery tracking.
Key Findings
- Financial Impact: €5,000-€100,000 per violation; 20-40 hours/month manual effort
- Frequency: Annual delivery + event-driven updates
- Root Cause: Manual brochure preparation, update tracking, and proof-of-delivery without digital audit trails
Why This Matters
This pain point represents a significant opportunity for B2B solutions targeting Investment Advice.
Affected Stakeholders
Compliance Officer, Client Onboarding Manager, Investment Advisor
Deep Analysis (Premium)
Financial Impact
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Current Workarounds
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Methodology & Sources
Data collected via OSINT from regulatory filings, industry audits, and verified case studies.
Evidence Sources:
Related Business Risks
Hohe Kosten für manuelle Brochure-Erstellung
Kundenrücktritte durch unvollständige Brochures
Risikodrift durch ausbleibendes Rebalancing
Kapazitätsverluste durch manuelle IPS-Updates
GoBD-Verstöße bei Quartalsberichterstattung
Verzögerte Zahlungen durch manuelle Quartalsabrechnungen
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