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

Chi­na Spe­cial­ty Glass AG: BaFin threat­ens co­er­cive fines

On 6 September 2017 BaFin ordered China Specialty Glass 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 282,500.

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

On 15 March 2017, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2,500 euros against Intertainment AG.

Beate Uhse Ak­tienge­sellschaft: BaFin threat­ens co­er­cive fines

On 22 August 2017 BaFin ordered Beate Uhse Aktiengesellschaft 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 220,000.

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.

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