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:

DateMeasureReason/ contraventionStatusNoteLegal basis of the publication

Did you find this article helpful?

We appreciate your feedback

* Mandatory field

Publications on this topic

Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against Trav­ AG

On 10 July 2017, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2.500 euros against AG.

Chi­na Spe­cial­ty Glass AG: BaFin im­pos­es co­er­cive fines

On 28 November 2017 BaFin imposed coercive fines in the amount of EUR 282,500 on China Specialty Glass AG.

SKW Stahl-Met­al­lurgie Hold­ing AG: BaFin im­pos­es ad­min­is­tra­tive fine

On 23 November 2017, BaFin imposed an administrative fine amounting to 668,000 euros against SKW Stahl-Metallurgie Holding AG.

Bank Sep­ah–Iran, Frank­furt Branch: BaFin im­pos­es lend­ing pro­hi­bi­tion

On 12 September 2017, the Federal Financial Supervisory Authority (Bundesanstalt für FinanzdienstleistungsaufsichtBaFin) issued an order to Bank Sepah-Iran, Frankfurt Branch, prohibiting the institution from lending until further notice. BaFin had identified contraventions of re-quirements for a proper business organisation within the meaning of sec-tion 25a (1) of the Banking Act

Alexan­der­w­erk AG: BaFin im­pos­es ad­min­is­tra­tive fine

On 1 November 2017, BaFin imposed an administrative fine amounting to 94,500 euros against Alexanderwerk AG.

All documents