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Procedure descriptions

Request exemption from the documentation of a risk analysis due to money laundering

As an obliged entity under the German Money Laundering Act (GwG), you must identify and assess the risks of money laundering and terrorist financing for the transactions you conduct and properly document them in a risk analysis.

Provided that specific risks in your business area are clearly recognisable and

  1. existing specific risks are clearly recognisable and
  2. the risks are understood,

be exempted from the obligation to document a risk analysis upon request.

Please note that the exemption from documenting a risk analysis does not exempt you from the obligation to prepare a risk analysis. The exemption can only be granted for the documentation.

You must continue to identify and assess risks of money laundering and terrorist financing on an ongoing basis and take suitable internal security measures to prevent them. You can only be exempted from the regular documentation obligation.

Re 1. the existing specific risks may be clearly recognisable if, for example, your business activities

  • do not involve complex business activities,
  • the transactions you carry out are of a manageable size,
  • Your customer structure is homogeneous and
  • there are no other risk-increasing circumstances.

Re 2: A sufficient understanding of the specific risks can be assumed if the internal security measures you have taken (e.g. regular briefings of the staff deployed and security checks) are appropriate to the risk.

Responsible authority

The regional councils in whose district you live.

Regierungspräsidium Stuttgart

Details

Prerequisite

  • Obliged parties under the Money Laundering Act

Only natural or legal persons who are authorised as:

  1. Financial companies within the meaning of Section 1 (24) GwG (obliged entities pursuant to Section 2 (1) no. 6 GwG)
  2. Insurance intermediaries pursuant to Section 59 of the Insurance Contract Act (VVG), insofar as they broker the activities, transactions, products or services covered by Section 2 (1) No. 7 GwG, with the exception of insurance intermediaries operating pursuant to Section 34d (6) or (7) No. 1 of the Trade, Commerce and Industry Regulation Act, and branches of such insurance intermediaries based abroad and located in Germany (obliged entities pursuant to Section 2 (1) No. 8 GwG)
  3. Service providers for companies and for trust assets or trustees if they provide the services specified in Section 2 (1) no. 13 GwG for third parties (obliged entities pursuant to Section 2 (1) no. 13 GwG)
  4. Real estate agents, subject to the requirements of Section 4 (4) GwG (obliged entities pursuant to Section 2 (1) no. 14 GwG)
  5. Goods dealers, art brokers and art warehouse keepers, insofar as the warehousing takes place in duty-free areas and the thresholds listed in Section 4 (5) GwG are exceeded (obliged entities pursuant to Section 2 (1) no. 16 GwG)
  6. Bookmakers within the meaning of Section 2 (1) of the Racing Betting and Lottery Act (RennwLottG) (obliged entities pursuant to Section 2 (1) no. 15 GwG)
  7. Casinos (obliged entities pursuant to Section 2 (1) no. 15 GwG)
  8. Betting agencies (obliged entities pursuant to Section 2 (1) no. 15 GwG)
  9. acceptance centres within the meaning of Section 3 (5) of the State Treaty on Gambling, insofar as they offer the Oddset sports bet (obliged entities pursuant to Section 2 (1) no. 15 GwG)
  10. Organisers of online games of chance (virtual slot machines and online poker) within the meaning of Sections 22a and 22b of the State Treaty on Gambling 2021 (obliged entities pursuant to Section 2 (1) no. 15 GwG)
  11. Auditors, sworn auditors, tax consultants, tax agents and the associations listed in Section 4 No. 11 of the Tax Consultancy Act (obliged entities pursuant to Section 2 (1) No. 12 GwG)
  12. Lawyers, legal counsels, patent attorneys and notaries, insofar as they
    • a) are involved in the planning or execution of the following transactions for the client:
      • aa) Purchase and sale of real estate or commercial enterprises,
      • bb) management of money, securities or other assets,
      • cc) opening or managing bank, savings or securities accounts,
      • dd) raising the funds required to establish, operate or manage companies,
      • ee) establishing, operating or managing trusts, companies or similar structures,
    • b) carry out financial or real estate transactions in the name and for the account of the client,
    • c) advise the client on its capital structure, industrial strategy or related matters,
    • d) provide advice or services in connection with mergers or acquisitions; or
    • e) provide business-related assistance in tax matters
      (obliged entities pursuant to Section 2 (1) no. 10 GwG)

are active.

  • Authorised representative

The person submitting the application must be a member of management or an internal/external money laundering officer of the company.

  • Clear recognisability of the risks

for example, presentation of

  1. what risks your company is exposed to and
  2. how vulnerable it is to abuse against money laundering or terrorist financing
  • Sufficient understanding of the risks

for example, presentation of the security measures taken based on the specific risks identified

Procedure

  • As the obligated party, you apply to the competent authority for exemption from the obligation to document a risk analysis
  • Your application will be reviewed by the competent authority
  • You will receive a decision once the procedure has been completed

Deadlines

none

Required documents

Application for exemption from the documentation of a risk analysis

The application must demonstrate in a comprehensible and justified manner that the risks of money laundering and terrorist financing in your area of business are manageable and clearly recognisable.

Proof of authorisation to apply

  • proof of appointment as money laundering officer or
  • contract on the outsourcing of internal security measures or
  • proof that the person submitting the application is a member of the company's management (e.g. extract from the commercial register or shareholders' agreement, organisational chart)

current risk analysis

  • A comprehensible presentation of the internal security measures taken on the basis of the concrete risks of money laundering and terrorist financing identified and assessed in your business area.

if applicable, a current extract from the commercial register

  • Registered companies should submit a current extract from the commercial register with their application. Legal entities in the process of being founded (GmbH, AG) submit the articles of association or articles of incorporation.

Costs

Is based on the respective administrative fee schedule of the state or on the fee statutes of the authorities responsible under state law.

Processing time

Approximately 6 weeks

Miscellaneous

none

Legal basis

Gesetz über das Aufspüren von Gewinnen aus schweren Straftaten (Geldwäschegesetz - GwG):

  • § 5 Risikoanalyse

Release note

généré par la machine, sur la base de la version allemande: Innenministerium Baden-Württemberg,13.11.2025

Stellenausschreibung

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