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

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.

Mars One Ven­tures AG: BaFin im­pos­es co­er­cive fines

On 23 October 2017 BaFin imposed coercive fines in the amount of EUR 230,000 on Mars One Ventures AG.

1st RED Ak­tienge­sellschaft: BaFin im­pos­es ad­min­is­tra­tive fine

On 12 October 2017, BaFin imposed an administrative fine amounting to 148,500 euros against 1st RED Aktiengesellschaft.

New-York Ham­burg­er Gum­mi-Waaren Com­pag­nie Ak­tienge­sellschaft: BaFin im­pos­es ad­min­is­tra­tive fine

On 12 October 2017, BaFin imposed an administrative fine amounting to 115,000 euros against New-York Hamburger Gummi-Waaren Compagnie Aktiengesellschaft.

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