Exchange Supervisory Authority - complaints office for citizens regarding the exchange centres in Berlin

If you are an affected person and would like to complain about transactions at the two exchange centres in Berlin (Berlin Stock Exchange (Börse Berlin) and Tradegate Exchange), please address your complaint to the Exchange Supervisory Authority Berlin at the Senate Department for Economics.

Procedure:
You can submit your complaint in text form to the Exchange Supervisory Authority Berlin. Please specify the transactions you would like to object to.

Your complaint will be reviewed to determine, whether the exchange provisions and regulations that apply for the particular exchange centre were complied with (legal supervision), and if trading and trade processing were conducted properly (market supervision), if you could not clarify the issue with the trade monitoring unit for the respective exchange centre (see ‘Further Information’).

Within the framework of stock exchange legislation, the Exchange Supervisory Authority Berlin acts solely in the public interest. It does not serve the purpose to enforce individual interests and it does not replace legal action. The authority must not provide any legal advice.

You will receive notification when the Exchange Supervisory Authority has completed handling your complaint.

Prerequisites

• Exchange centre Berlin
  
  Your complaint must refer to one of the exchange centres in Berlin. These are the Berlin Stock Exchange (Börse Berlin) and Tradegate Exchange.
• Involvement of the trade monitoring unit was not successful
  
  The competent trade monitoring unit for the exchange centre could not remedy the issue you complained about. (see ‘Further Information’)

Documents required

• Complaint
  Please submit your complaint to the Exchange Supervisory Authority Berlin in text form, either by mail or electronically by email.
• Further documents, if applicable
  e.g. communication with the exchange monitoring unit, other evidence (invoices, transactions you object to, etc.) that is suitable evidence to support your complaint.

Fees

Legal basis

• § 3 Stock Exchange Act (BörsG)

Average time to process request

More information

• Information from the Exchange Supervisory Authority Berlin at the Senate Department for Economics
• Overview of Exchange Supervisory Authorities in Germany
• Federal Financial Supervisory Authority - consumer information
• Trade monitoring unit of the Berlin Stock Exchange
• Trade monitoring unit of Tradegate Exchange

Responsible authorities

The Exchange Supervisory Authority Berlin at the Senate Department for Economics is the legal supervisory authority for trading activities at Berlin’s two exchange centres: the Berlin Stock Exchange (Börse Berlin) and Tradegate Exchange. It is not responsible for any other trading venues or issues with trading platforms abroad. Please contact the competent local supervisory authority or the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht - BaFin) (see ‘Further Information’).