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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:
02.02.2024 An­nounce­ment about Ham­burg­er Hafen und Lo­gis­tik Ak­tienge­sellschaft
01.02.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG
01.02.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG
23.01.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG
23.01.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG
10.01.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Ger­man Val­ues Prop­er­ty Group AG
10.01.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Ger­man Val­ues Prop­er­ty Group AG
10.01.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on Vere­inigte Filz­fab­riken, Ak­tienge­sellschaft
10.01.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on TELES Ak­tienge­sellschaft
10.01.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on TELES Ak­tienge­sellschaft

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 11.09.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ETC Is­suance GmbH

On 18 July 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50.000 euros on ETC Issuance GmbH

Format Measure Erscheinung: from 11.09.2024 An­nounce­ment about Dr. Hön­le AG

On 7 August 2024, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines totalling 200,000 euros on Dr. Hönle AG on grounds that the company had violated the Market Abuse Regulation (MAR) and the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG).

Format Measure Erscheinung: from 29.08.2024 An­nounce­ment

On 5 July 2024, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines totalling 90,000 euros on Altech Batteries Limited. The fines were imposed due to the company’s failure to comply with obligations under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). The company failed to submit voting rights notifications within the prescribed period.

Format Measure Erscheinung: from 21.08.2024 Stand: , updated on 23.08.2024 An­nounce­ment

On 4 July 2024, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines of 111,000 euros on a natural person. The person in question had failed to submit voting rights notifications within the prescribed period and had contravened an enforceable order. They thus violated the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and the German Securities Prospectus …

Format Measure Erscheinung: from 20.08.2024 Stand: , updated on 05.09.2024 An­nounce­ment

On 27 Mai 2024, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines totalling 1,600,000 euros on NBSH Acquisition LLC. The fine was imposed due to the company’s failure to comply with obligations under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). The company failed to submit voting rights notifications within the prescribed period.

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