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:

DateMeasureReason/ contraventionStatusNoteLegal basis of the publication
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Publications on this topic

Fritz Nols AG: BaFin im­pos­es co­er­cive fines

On 27 July 2017 BaFin imposed coercive fines in the amount of EUR 335,000 on Fritz Nols AG.

Mars One Ven­tures AG: BaFin threat­ens co­er­cive fines

On 2 August 2017 BaFin ordered Mars One Ventures AG to comply with the financial reporting requirements pursuant to sections 37v et seq. of the Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and threatened coercive fines in the amount of EUR 230,000.

Cryp Trade Cap­i­tal Ltd.: BaFin pro­hibits unau­tho­rised bank­ing busi­ness and or­ders wind­ing-up

As of 4 April 2017, the Bundesanstalt für Finanzdienstleistungsaufsicht - BaFin (Federal Financial Supervisory Authority) issued a cease and desist order against Cryp Trade Capital Ltd., Alicante, Spain, which was engaged in unauthorized banking business, to immediately stop those banking activities in Germany, and ordered the immediate winding-up of said business.

Elec­trawinds SE: BaFin threat­ens co­er­cive fines

On 29 June 2017 BaFin ordered Electrawinds SE to comply with the financial reporting requirements pursuant to sections 37v et seq. of the Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and threatened coercive fines in the amount of EUR 230,000.

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

On 6 September 2016, the Federal Office of Justice (Bundesamt für Justiz - BfJ) imposed a disciplinary fine amounting to 12,500 euros against Agennix AG.

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