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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:
23.12.2019 Deutsche Cannabis AG: BaFin im­pos­es ad­min­is­tra­tive fines
23.12.2019 Elanix Biotech­nolo­gies AG: BaFin im­pos­es ad­min­is­tra­tive fines
20.12.2019 SFC En­er­gy AG: BaFin im­pos­es ad­min­is­tra­tive fine
20.12.2019 MeVis Med­i­cal So­lu­tions AG: BaFin im­pos­es ad­min­is­tra­tive fine
19.12.2019 IKB Fund­ing Trust I: BaFin threat­ens to im­pose co­er­cive fines
16.12.2019 Unit­ed Pow­er Tech­nol­o­gy AG: BaFin im­pos­es ad­min­is­tra­tive fine
16.12.2019 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against Fenghua So­leTech AG
12.12.2019 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against ZhongDe Waste Tech­nol­o­gy AG
12.12.2019 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against ZhongDe Waste Tech­nol­o­gy AG
11.12.2019 Elanix Biotech­nolo­gies AG: BaFin im­pos­es co­er­cive fines

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:
21.08.2024 An­nounce­ment
19.08.2024 An­nounce­ment
19.08.2024 An­nounce­ment
22.07.2024 An­nounce­ment
19.06.2024 An­nounce­ment
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
12.06.2023 BaFin im­pos­es ad­min­is­tra­tive fines

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Publications on this topic

Format Measure Erscheinung: from 08.10.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Pana­max Ak­tienge­sellschaft

On 8 August 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50.000 euros on Panamax Aktiengesellschaft.

Format Measure Erscheinung: from 08.10.2024 An­nounce­ment

On 25 September 2024, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines amounting to 40,000 euros on ECHOS Holding AG. The fines were imposed because the company had contravened obligations under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). ECHOS Holding AG had failed to publish its half-yearly financial report for the financial year 2023. In …

Format Measure Erscheinung: from 07.10.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG

On 22 August 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 750.000,- euros on ZhongDe Waste Technology AG.

Format Measure Erscheinung: from 07.10.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG

On 22 August 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 750.000,- euros on ZhongDe Waste Technology AG.

Format Measure Erscheinung: from 07.10.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG

On 12 July 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 1.500.000,- euros on ZhongDe Waste Technology AG.

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