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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:
25.07.2024 An­nounce­ment about BNP Paribas S.A.
23.07.2024 An­nounce­ment about ZhongDe Waste Tech­nol­o­gy AG
18.07.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ROY As­set Hold­ing SE
18.07.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ROY As­set Hold­ing SE
20.06.2024 An­nounce­ment Cit­i­group Glob­al Mar­kets Eu­rope AG
12.06.2024 An­nounce­ment SFC En­er­gy AG
05.06.2024 An­nounce­ment Epige­nomics AG
04.06.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG
04.06.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG
23.05.2024 An­nounce­ment re­gard­ing Baad­er Bank AG

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:
10.08.2020 BaFin im­pos­es ad­min­is­tra­tive fines
10.08.2020 BaFin im­pos­es ad­min­is­tra­tive fine
10.08.2020 BaFin im­pos­es ad­min­is­tra­tive fine
23.07.2020 BaFin im­pos­es ad­min­is­tra­tive fines
20.05.2020 BaFin im­pos­es ad­min­is­tra­tive fines
15.05.2020 BaFin im­pos­es ad­min­is­tra­tive fines
15.05.2020 BaFin im­pos­es ad­min­is­tra­tive fines
15.04.2020 BaFin im­pos­es ad­min­is­tra­tive fines
11.02.2020 BaFin im­pos­es ad­min­is­tra­tive fines
07.02.2020 BaFin im­pos­es ad­min­is­tra­tive fines

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Publications on this topic

Format Measure Erscheinung: from 25.07.2024 An­nounce­ment about BNP Paribas S.A.

On 3 July 2024, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines totalling 830,000 euros on BNP Paribas S.A. This was because the institution’s German branch breached the requirements of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and Delegated Regulation (EU) 2017/565, which stipulates the organisational requirements for investment firms, …

Format Measure Erscheinung: from 23.07.2024 An­nounce­ment about ZhongDe Waste Tech­nol­o­gy AG

On 10 July 2024, the Federal Financial Supervisory Authority (BaFin) ordered ZhongDe Waste Technology AG to comply with the financial reporting requirements under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). In case the company fails to comply with this order, BaFin also threatened to impose coercive fines in the amount of 55,000 euros.

Format Measure Erscheinung: from 22.07.2024 Stand: , updated on 02.08.2024 An­nounce­ment

On 28 June 2024, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines totalling 140,000 euros on a natural person. The fines were imposed due to the person’s violation of the Market Abuse Regulation (MAR). The person in question failed to submit notifications of own account transactions within the prescribed period.

Format Measure Erscheinung: from 18.07.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ROY As­set Hold­ing SE

On 27 May 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50.000 euros on ROY Asset Holding SE.

Format Measure Erscheinung: from 18.07.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ROY As­set Hold­ing SE

On 27 May 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50.000 euros on ROY Asset Holding SE.

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