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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.

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

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Publications on this topic

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.

Format Measure Erscheinung: from 08.08.2025 Gal­lus Im­mo­bilien 5 GmbH & Co. KG: 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 Gallus Immobilien 5 GmbH & Co. KG 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.

Format Measure Erscheinung: from 08.08.2025 Gal­lus Im­mo­bilien 4 GmbH & Co. KG: 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 Gallus Immobilien 4 GmbH & Co. KG 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.

Format Measure Erscheinung: from 08.08.2025 Gal­lus Im­mo­bilien 3 GmbH & Co. KG: 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 Gallus Immobilien 3 GmbH & Co. KG 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.

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