--- title: | Hubert Krattinger --- - [Customer Stories](https://mco.mycomplianceoffice.com/customer-stories) - [Customer Support](https://mco.mycomplianceoffice.com/resources/support) - [Sign In](https://www.mycomplianceoffice.com/customer/portal?utm_campaign=US%20Users&utm_medium=Website%20Login&utm_source=US%20User) [![mco-white-logo](https://mco.mycomplianceoffice.com/hubfs/_mco2018/Logos/mco-white-logo.svg "mco-white-logo")](https://mco.mycomplianceoffice.com/) [![mco-color-logo](https://mco.mycomplianceoffice.com/hubfs/_mco2018/Logos/mco-color-logo.svg "mco-color-logo")](https://mco.mycomplianceoffice.com/) - Products - [Know Your Employee (KYE)](https://mco.mycomplianceoffice.com/products/know-your-employee) - [Personal Trading Compliance](https://mco.mycomplianceoffice.com/products/know-your-employee/personal-trading-compliance) - [Gifts, Entertainment and Hospitality](https://mco.mycomplianceoffice.com/products/know-your-employee/gifts-entertainment-hospitality) - [Political Contributions and Donations](https://mco.mycomplianceoffice.com/products/know-your-employee/political-contributions-donations) - [Outside Business Activities](https://mco.mycomplianceoffice.com/products/know-your-employee/outside-business-activities) - [Registrations and Licensing](https://mco.mycomplianceoffice.com/products/know-your-employee/authorizations-registrations-licensing) - [Roles and Responsibilities Needs](https://mco.mycomplianceoffice.com/products/know-your-employee/individual-accountability-regime) - [Connected Persons and Relationships ](https://mco.mycomplianceoffice.com/products/know-your-employee/connected-persons-and-relationships) - [eComms Archive](https://mco.mycomplianceoffice.com/products/know-your-employee/communications-archiving) - [eComms Review](https://mco.mycomplianceoffice.com/products/know-your-employee/ecomms-review) - [Know Your Transactions (KYT)](https://mco.mycomplianceoffice.com/products/know-your-transactions/tradesurveillance) - [Trade Surveillance](https://mco.mycomplianceoffice.com/products/know-your-transactions) - [Insider and MNPI](https://mco.mycomplianceoffice.com/products/know-your-transactions/insider-and-mnpi) - [Suitability](https://mco.mycomplianceoffice.com/products/know-your-transactions/tradesurveillance) - [Know Your Third Party (KYTP)](https://mco.mycomplianceoffice.com/products/know-your-third-party) - [Third Party Risk](https://mco.mycomplianceoffice.com/products/know-your-third-party) - [Third Party Approvals](https://mco.mycomplianceoffice.com/products/know-your-third-party/third-party-approvals) - [Know Your Obligations (KYO)](https://mco.mycomplianceoffice.com/products/know-your-compliance-obligations) - [Regulatory Change Manager](https://mco.mycomplianceoffice.com/products/know-your-compliance-obligations/regulatory-change-manager) - [Compliance Risk Manager](https://mco.mycomplianceoffice.com/products/know-your-obligations/compliance-risk-manager) - [Compliance Assurance Manager](https://mco.mycomplianceoffice.com/products/know-your-compliance-obligations/compliance-assurance-manager) - [Policy Content Governor](https://mco.mycomplianceoffice.com/products/know-your-compliance-obligations/policy-content-governor) - Solutions - [Compliance Oversight](https://mco.mycomplianceoffice.com/solutions/compliance-oversight) - [Communications Compliance](https://mco.mycomplianceoffice.com/solutions/communications-compliance) - [Market Abuse Regulation](https://mco.mycomplianceoffice.com/solutions/market-abuse-regulation) - [FinCEN RIA AML Rule](https://mco.mycomplianceoffice.com/solutions/fincen-ria-rule-aml-compliance) - [Senior Managers Certification Regime](https://mco.mycomplianceoffice.com/solutions/senior-managers-certification-regime) - [Conduct Risk](https://mco.mycomplianceoffice.com/solutions/conduct-risk) - [Control Room Compliance](https://mco.mycomplianceoffice.com/solutions/control-room-compliance) - [Pay-to-Play Compliance](https://mco.mycomplianceoffice.com/solutions/pay-to-play-compliance) - [Conflict of Interest Management](https://mco.mycomplianceoffice.com/solutions/conflict-of-interest-management) - [Crypto Compliance](https://mco.mycomplianceoffice.com/blog/cryptocurrency-employee-trading) - [Small Firm Compliance](https://mco.mycomplianceoffice.com/blog/compliance-monitoring-smaller-firms) - [Corporate Compliance](https://mco.mycomplianceoffice.com/solutions/corporate-compliance) - [Anti-Bribery and Corruption](https://mco.mycomplianceoffice.com/solutions/corporate-compliance) - [Compliance Program Management](https://mco.mycomplianceoffice.com/solutions/compliance-program-management) - Education Center - [Blog](https://mco.mycomplianceoffice.com/blog) - [Webinars](https://mco.mycomplianceoffice.com/mco-webinar) - [Resources](https://mco.mycomplianceoffice.com/risk-and-compliance-resources) - About Us - [Company](https://mco.mycomplianceoffice.com/company/about-us) - [Awards](https://mco.mycomplianceoffice.com/company/awards) - [Careers](https://mco.mycomplianceoffice.com/company/careers) - [Partners](https://mco.mycomplianceoffice.com/company/partners) - [News](https://mco.mycomplianceoffice.com/about-us/news) [![Request a Demo](https://no-cache.hubspot.com/cta/default/502248/d3e3c514-c860-4890-83da-7abcd6fa52a4.png)](https://cta-redirect.hubspot.com/cta/redirect/502248/d3e3c514-c860-4890-83da-7abcd6fa52a4) ### [AML-FinCEN RIA Rule ](https://mco.mycomplianceoffice.com/solutions/fincen-ria-rule-aml-compliance) [Communications Compliance ](https://mco.mycomplianceoffice.com/solutions/communications-compliance) [Compliance Program Management ](https://mco.mycomplianceoffice.com/solutions/compliance-program-management) [Fit and Proper ](https://mco.mycomplianceoffice.com/solutions/fit-and-proper) [Market Abuse Regulations ](https://mco.mycomplianceoffice.com/solutions/market-abuse-regulation) [Conduct Risk ](https://mco.mycomplianceoffice.com/solutions/conduct-risk) [Control Room Compliance ](https://mco.mycomplianceoffice.com/solutions/control-room-compliance) [Compliance Oversight ](https://mco.mycomplianceoffice.com/solutions/compliance-oversight) [Pay-to-Play Compliance ](https://mco.mycomplianceoffice.com/solutions/pay-to-play-compliance) [Conflict of Interest Management ](https://mco.mycomplianceoffice.com/solutions/conflict-of-interest-management) Small Firm Compliance [Corporate Compliance ](https://mco.mycomplianceoffice.com/solutions/corporate-compliance) [Anti-Bribery and Corruption ](https://mco.mycomplianceoffice.com/solutions/corporate-compliance) [Senior Managers & Certifications ](https://mco.mycomplianceoffice.com/solutions/senior-managers-certification-regime) # MyComplianceOffice Blog ### Blog Categories ** - [Employee Personal Trading (1)](https://mco.mycomplianceoffice.com/de/blog/tag/employee-personal-trading) - [Market Abuse Regulation (1)](https://mco.mycomplianceoffice.com/de/blog/tag/market-abuse-regulation) [Subscribe for Updates](https://mco.mycomplianceoffice.com/de/blog/author/hubert-krattinger#footer-subscribe) ## Recent Posts by Hubert Krattinger [![MCO enables firms to manage employee trading under BaFin & MAR requirements](https://mco.mycomplianceoffice.com/hubfs/Bafin-Trading-Blog.svg) ](https://mco.mycomplianceoffice.com/de/blog/bafin-mar-and-employee-trading-proving-control-in-germany) ### [BaFin, MAR, and Employee Trading: Proving Control in Germany](https://mco.mycomplianceoffice.com/de/blog/bafin-mar-and-employee-trading-proving-control-in-germany) Mai 1, 2026 | By [Hubert Krattinger](https://mco.mycomplianceoffice.com/de/blog/author/hubert-krattinger)     In Deutschland besteht der regulatorische Test nicht darin, ob ein Unternehmen Regeln für den Mitarbeiterhandel auf dem Papier hat, sondern ob es nachweisen kann, dass diese im entscheidenden Moment tatsächlich funktioniert haben. Unter der [**EU-Marktmissbrauchsverordnung (MAR)**](https://eur-lex.europa.eu/eli/reg/2014/596) – insbesondere [**Artikel 17, 18 und 19**](https://eur-lex.europa.eu/eli/reg/2014/596/2024-01-09/eng) – und den aufsichtsrechtlichen Erwartungen der deutschen Bundesanstalt für Finanzdienstleistungsaufsicht ([**Bundesanstalt für Finanzdienstleistungsaufsicht**](https://www.bafin.de/DE/home_node.html)) (BaFin) müssen Personal Account Dealing, Insiderkontrollen und die Verwaltung von Kommunikationsaufzeichnungen als eine einzige, prüfbare Nachweiskette funktionieren. Dabei handelt es sich nicht nur um eine Record-Keeping-Anforderung, sondern um den Nachweis der Wirksamkeit von Kontrollen. [Read More **](https://mco.mycomplianceoffice.com/de/blog/bafin-mar-and-employee-trading-proving-control-in-germany) [![MCO enables firms to manage BaFin recordkeeping requirements](https://mco.mycomplianceoffice.com/hubfs/Bafin-Recordkeeping-Blog.svg) ](https://mco.mycomplianceoffice.com/de/blog/bafin-record-keeping-requirements-to-reconstruct-compliance) ### [BaFin Record-Keeping Requirements for Financial Services Firms](https://mco.mycomplianceoffice.com/de/blog/bafin-record-keeping-requirements-to-reconstruct-compliance) April 29, 2026 | By [Hubert Krattinger](https://mco.mycomplianceoffice.com/de/blog/author/hubert-krattinger)     Die deutsche Bundesanstalt für Finanzdienstleistungsaufsicht ([**Bundesanstalt für Finanzdienstleistungsaufsicht**](https://www.bafin.de/DE/home_node.html)) (BaFin) legt Emittenten und regulierten Unternehmen im Rahmen der deutschen Umsetzung der Markets in Financial Instruments Directive ([**MiFID II**](https://www.esma.europa.eu/publications-and-data/interactive-single-rulebook/mifid-ii)) und des Wertpapierhandelsgesetzes (WpHG) strenge Pflichten auf, bestimmte Daten zu erfassen, aufzuzeichnen und aufzubewahren.   [Read More **](https://mco.mycomplianceoffice.com/de/blog/bafin-record-keeping-requirements-to-reconstruct-compliance) ### Sign up for our newsletter [![g2-rating-img](https://mco.mycomplianceoffice.com/hs-fs/hubfs/g2-rating-img.png?width=150&name=g2-rating-img.png "g2-rating-img")](https://www.g2.com/products/mycomplianceoffice/reviews?utm_source=review-widget) [EU Sign In](https://www.mycomplianceoffice.eu/customer/portal) [US Sign In](https://www.mycomplianceoffice.com/customer/portal?utm_campaign=US%20Users&utm_medium=Website%20Login&utm_source=US%20User) [** ](https://www.youtube.com/channel/UCvE-eGnS_qXrRJUgSTkE2VA) [** ](https://twitter.com/mycompliance) [** ](https://www.linkedin.com/company/mycomplianceoffice) Copyright 2024 MyComplianceOffice Ltd. All Rights Reserved | [Privacy Policy](https://mco.mycomplianceoffice.com/privacy-statement) [![TRUSTe](https://privacy-policy.truste.com/privacy-seal/seal?rid=2ff79a99-faf3-4768-801a-f00a8d596946)](https://privacy.truste.com/privacy-seal/validation?rid=2ff79a99-faf3-4768-801a-f00a8d596946) Top ![](https://dc.ads.linkedin.com/collect/?pid=398777&fmt=gif) ![](https://secure.leadforensics.com/99359.png)