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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:
03.02.2020 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine against Deutsche Cannabis 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:
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 07.02.2025 An­nounce­ment about Val­our Dig­i­tal Se­cu­ri­ties Lim­it­ed

On 22 January 2025, the Federal Financial Supervisory Authority (BaFin) ordered Valour Digital Securities Limited 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 57,500 euros.

Format Measure Erscheinung: from 29.01.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ROY As­set Hold­ing SE

On 4 November 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 28.01.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ROY As­set Hold­ing SE

On 4 November 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 06.01.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG

On 31 October 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 2 million euros on ZhongDe Waste Technology AG

Format Measure Erscheinung: from 06.01.2025 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG

On 31 October 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 2 million euros on ZhongDe Waste Technology AG.

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