BaFin - Navigation & Service

Go to:

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.

Date Title:
08.07.2025 ROY As­set Hold­ing SE: BaFin im­pos­es ad­min­is­tra­tive fine
04.07.2025 Vi­van­co Gruppe AG: BaFin im­pos­es ad­min­is­tra­tive fine
25.06.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Vi­van­co Gruppe AG
25.06.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Vi­van­co Gruppe AG
25.06.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Wild Bunch AG
25.06.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Wild Bunch AG
17.06.2025 ECHOS Hold­ing AG: BaFin im­pos­es ad­min­is­tra­tive fines
13.06.2025 In­noves­ti­ca Hold­ings Inc.: BaFin im­pos­es ad­min­is­tra­tive fines
06.06.2025 Don­ner & Reuschel Ak­tienge­sellschaft: BaFin im­pos­es ad­min­is­tra­tive fine
05.06.2025 pub­li­ty AG: BaFin im­pos­es ad­min­is­tra­tive fine

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:

Date Title:
21.10.2024 Fail­ure to ful­fil fi­nan­cial re­port­ing re­quire­ments: BaFin im­pos­es ad­min­is­tra­tive fines
16.10.2024 Fail­ure to pub­lish the to­tal num­ber of vot­ing rights with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fine
19.08.2024 Fail­ure to sub­mit vot­ing rights no­ti­fi­ca­tions with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines
19.08.2024 Fail­ure to sub­mit vot­ing rights no­ti­fi­ca­tions with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines
22.07.2024 Fail­ure to sub­mit no­ti­fi­ca­tion of own ac­count trans­ac­tions and vot­ing rights with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines
19.06.2024 Fail­ure to ful­fil fi­nan­cial re­port­ing re­quire­ments: BaFin im­pos­es ad­min­is­tra­tive fine
16.11.2023 Fail­ure to ful­fil fi­nan­cial re­port­ing re­quire­ments: BaFin im­pos­es ad­min­is­tra­tive fines
15.11.2023 Fail­ure to ful­fil fi­nan­cial re­port­ing re­quire­ments: BaFin im­pos­es ad­min­is­tra­tive fines
06.09.2023 Fail­ure to sub­mit no­ti­fi­ca­tion of own ac­count trans­ac­tions and vot­ing rights with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines
09.08.2023 Fail­ure to sub­mit vot­ing rights no­ti­fi­ca­tions with­in the pre­scribed pe­ri­od: BaFin im­pos­es ad­min­is­tra­tive fines

Additional information

More on this topic

Attachements

Did you find this article helpful?

We appreciate your feedback

Your feedback helps us to continuously improve the website and to keep it up to date. If you have any questions and would like us to contact you, please use our contact form. Please send any disclosures about actual or suspected violations of supervisory provisions to our contact point for whistleblowers.

We appreciate your feedback

* Mandatory field

Publications on this topic

Format Measure Erscheinung: from 16.09.2025 Varen­gold Bank AG: BaFin or­ders com­pre­hen­sive re­me­di­a­tion of short­com­ings and im­pos­es ad­min­is­tra­tive fine

The Federal Financial Supervisory Authority (BaFin) has identified serious shortcomings at Varengold Bank AG in the prevention of money laundering and terrorist financing. BaFin has therefore ordered the institution to take appropriate and suitable measures to remedy these shortcomings. In addition, BaFin has imposed on Varengold Bank AG an administrative fine of EUR 3.3 million and a coercive …

Format Measure Erscheinung: from 05.09.2025 Stand: , updated on 16.09.2025 DEUTZ Ak­tienge­sellschaft: BaFin im­pos­es ad­min­is­tra­tive fine

On 27 August 2025, the Federal Financial Supervisory Authority (BaFin) imposed an administrative fine amounting to 148,000 euros on DEUTZ Aktiengesellschaft on grounds that the company had violated the Market Abuse Regulation (MAR) by failing to disclose inside information.

Format Measure Erscheinung: from 19.08.2025 Su­tor Bank GmbH: BaFin im­pos­es ad­min­is­tra­tive fines

On 3 July 2025, BaFin imposed administrative fines amounting to EUR 702,500 on Sutor Bank GmbH. The company had contravened obligations under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and Commission Delegated Regulation (EU) 2017/565.

Format Measure Erscheinung: from 08.08.2025 Gal­lus Im­mo­bilien Gesellschaften: sus­pect­ed of­fer to the pub­lic of par­tic­i­pa­tion cer­tifi­cates in AM­AGVIK Int. AG with­out the re­quired prospec­tus

The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that various companies are offering securities to the public in Germany in the form of participation certificates in AMAGVIK Int. AG without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.

Format Measure Erscheinung: from 08.08.2025 AM­AGVIK Int. AG: sus­pect­ed of­fer to the pub­lic of par­tic­i­pa­tion cer­tifi­cates in AM­AGVIK Int. AG with­out the re­quired prospec­tus

The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that AMAGVIK Int. AG is offering securities to the public in Germany in the form of participation certificates in AMAGVIK Int. AG without the required prospectus. There are no indications that the conditions for exemption from the prospectus requirement are met.

All documents