BaFin

Topic Measures Measures and sanctions by BaFin's Securities Supervision Directorate

On its website, BaFin makes public certain measures and sanctions which it has adopted due to contraventions of prohibitions and requirements in the sector of securities supervision or which have been made known to BaFin pursuant to section 335 (1d) of the German Commercial Code (Handelsgesetzbuch – HGB).

Non-anonymised publication

The following table provides a list of all cases of non-anonymised publication.

Anonymised publication

Under certain circumstances measures adopted by BaFin are made public on an anonymised basis. This is the case, for example, if publication would result in disproportionately large damage for the natural or legal person concerned. The following table provides an overview of all cases of anonymised publication:

updated on 07.02.2018

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Publications on this topic

Maier + Part­ner Ak­tienge­sellschaft: BaFin threat­ens co­er­cive fines

On 11 July 2018 BaFin ordered Maier + Partner Aktiengesellschaft to comply with the financial reporting requirements pursuant to sections 114 et seq. of the Securities Trading Act (WertpapierhandelsgesetzWpHG) and threatened coercive fines in the amount of EUR 110,000.

BaFin im­pos­es fines

BaFin imposed administrative fines amounting to 19,500 euros against a senior manager of an institution relating to breaches of section 24 (3) sentence 1 number 1 of the German Banking Act (Kreditwesengesetz – KWG) old version.

Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against Ham­burg­er Ge­trei­de-Lager­haus Ak­tienge­sellschaft

On 10 April 2017, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 625 euros against Hamburger Getreide-Lagerhaus Aktiengesellschaft.

Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against Ham­burg­er Ge­trei­de-Lager­haus Ak­tienge­sellschaft

On 6 September 2016, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2,500 euros against Hamburger Getreide-Lagerhaus Aktiengesellschaft.

Mars One Ven­tures AG: BaFin im­pos­es co­er­cive fines

On 24 May 2018 BaFin imposed coercive fines in the amount of EUR 172,500 on Mars One Ventures AG.

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