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

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.

East-West As­seku­ranz AG: BaFin files pe­ti­tion to open in­sol­ven­cy pro­ceed­ings

On 14 June 2017 the Federal Financial Supervisory Authority (Bundesanstalt für FinanzdienstleistungsaufsichtBaFin) filed a petition to open insolvency proceedings for the assets of East-West Assekuranz AG at the Local Court (Amtsgericht) of Charlottenburg (Berlin). The management board had earlier notified BaFin of the insurer's overindebtedness pursuant to section 311 (1) sentence 2 of the …

Stock­holm IT Ven­tures AB: BaFin threat­ens co­er­cive fines

On 8 June 2017 BaFin ordered Stockholm IT Ventures AB to comply with the financial reporting requirements pursuant to sections 37v et seq. of the Securities Trading Act (WertpapierhandelsgesetzWpHG) and threatened coercive fines in the amount of EUR 402,500.

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

On 4 January 2017, the Federal Office of Justice (Bundesamt für Justiz - BfJ) imposed a disciplinary fine amounting to 2,500 euros against Fritz Nols AG.

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