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Stand:updated on 07.02.2018 | 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:

Additional information

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Publications on this topic

An­nounce­ment MTU Aero En­gines AG

On 1 March 2024, the Federal Financial Supervisory Authority (BaFin) imposed an administrative fine amounting to 510,000 euros on MTU Aero Engines AG on grounds that the company had violated the Market Abuse Regulation (MAR) by failing to disclose inside information without undue delay.

An­nounce­ment

The Federal Financial Supervisory Authority (BaFin) has imposed an administrative fine of 50,000 euros on Deutsche Bank AG. The fine was imposed because BaFin ascertained that the institution had communicated incorrect information regarding a major customer-relevant IT security incident occurring in the provision of payment services in 2023. Moreover, the bank had informed BaFin of the incident …

An­nounce­ment about ZhongDe Waste Tech­nol­o­gy AG

On 9 February 2024, the Federal Financial Supervisory Authority (BaFin) ordered ZhongDe Waste Technology AG to comply with the financial reporting requirements under the German Securities Trading Act (WertpapierhandelsgesetzWpHG). In case the company fails to comply with this order, BaFin also threatened to impose coercive fines in the amount of 141,250 euros.

An­nounce­ment about Ham­burg­er Hafen und Lo­gis­tik Ak­tienge­sellschaft

On 22 January 2024, the Federal Financial Supervisory Authority (BaFin) imposed an administrative fine amounting to 200,000 euros on Hamburger Hafen und Logistik Aktiengesellschaft. The fine was imposed because the company had contravened obligations under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG).

Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG

On 15 December 2023, the Federal Office of Justice (Bundesamt für JustizBfJ) imposed a disciplinary fine amounting to 750.000,- euros on ZhongDe Waste Technology AG

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