Institution record
DZ Bank
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (firms with licence warnings, enforcement flags or complaints) are listed first. Check each one on the regulator's own register.
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing DZ Bank against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| DZ Bank (this record) | ECBBaFin | 2 / 2 | Risk level not supplied | — | 0 |
| Mizuho Securities | FSAFCABaFin+4 | 6 / 7 | Risk level not supplied | — | 0 |
| Admiral Markets | BaFinFSAEFSA+3 | 4 / 6 | Risk level not supplied | — | 0 |
| CMCMarkets | BaFinFCAFMA+3 | 5 / 6 | Risk level not supplied | — | 0 |
| Pepperstone | BaFinCYSECSCB+3 | 4 / 6 | Risk level not supplied | — | 0 |
| FXFlat | BaFin | 0 / 1 | Risk level not supplied | — | 0 |
DZ Bank: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is DZ Bank's regulatory licence status and supervisory authorisation?
In our imported dataset, DZ Bank (legal entity reference: DZ Bank) holds 2 recorded licence entries, of which 2 carry a "regulated" status and 2 are marked regulated or registered: ECB (European Central Bank) — licence 529900HNOAA1KXQJUQ27, status: regulated, Tier-1; BaFin (Bundesanstalt für Finanzdienstleistungsaufsicht) — licence 10101261, status: regulated, Tier-1. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official ECB, BaFin public register.
Which of DZ Bank's jurisdictions and licences fall within this site's regulatory coverage?
DZ Bank is tracked under our firms with licence warnings, enforcement flags or complaints coverage scope based on its institutional service profile (Asset management, Investment, Banking) rather than a domestic focus licence. Its 2 recorded licences (ECB, BaFin) should be evaluated for cross-border passporting and local solicitation rules.
What is DZ Bank's institutional risk classification, enforcement exposure, and score profile?
DZ Bank carries a "risk level not supplied" classification in the source dataset (composite numeric scores are not supplied for this record). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to DZ Bank's platforms, entity structure, and complaints?
Before allocating capital or executing trades with DZ Bank, institutional and retail allocators should: (1) confirm the domain (dzbank.com) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to ECB.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from RegTech Codex relevant to DZ Bank's supervisory scope.
EU MiCA & DORA Compliance
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability: Statutory Capital Floors, Prudential Ratios & Licensing Thresholds (5 Years Max Unlicensed Advice Penalty Benchmark)
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability (ASIC-AFSL-INFO269) stands at 5 Years (Max Unlicensed Advice Penalty) (Source: Australian Securities & Investments Commission, 2026-10-20), governi
Global Enforcement & Licensing Rules
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability: Supervisory Reporting Timelines, Technical Standards & Audit Trails (5 Years Max Unlicensed Advice Penalty Benchmark)
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability (ASIC-AFSL-INFO269) stands at 5 Years (Max Unlicensed Advice Penalty) (Source: Australian Securities & Investments Commission, 2026-10-20), governi
Prudential Capital & Client Money Segregation
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability: Enforcement Penalties, Sanction Ceilings & Self-Reporting Mitigation (5 Years Max Unlicensed Advice Penalty Benchmark)
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability (ASIC-AFSL-INFO269) stands at 5 Years (Max Unlicensed Advice Penalty) (Source: Australian Securities & Investments Commission, 2026-10-20), governi
Clone Firm Detection & Register Audits
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability: Client Asset Segregation, Daily Reconciliation & Insolvency Protection (5 Years Max Unlicensed Advice Penalty Benchmark)
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability (ASIC-AFSL-INFO269) stands at 5 Years (Max Unlicensed Advice Penalty) (Source: Australian Securities & Investments Commission, 2026-10-20), governi