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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:
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
06.05.2024 An­nounce­ment about ZhongDe Waste Tech­nol­o­gy AG
22.04.2024 An­nounce­ment
28.03.2024 Mr. Zong­bin Li / Naki­ki SE: BaFin makes vot­ing rights no­ti­fi­ca­tion by way of self-ex­e­cu­tion
28.03.2024 Mr. Delin Xiong / Naki­ki SE: BaFin makes vot­ing rights no­ti­fi­ca­tion by way of self-ex­e­cu­tion

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:
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
04.01.2023 BaFin im­pos­es ad­min­is­tra­tive fine
21.12.2022 BaFin im­pos­es ad­min­is­tra­tive fines
14.12.2022 BaFin im­pos­es ad­min­is­tra­tive fines
26.07.2022 BaFin im­pos­es ad­min­is­tra­tive fine

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Publications on this topic

Format Measure Erscheinung: from 20.06.2024 An­nounce­ment Cit­i­group Glob­al Mar­kets Eu­rope AG

On 24 May 2024, the Federal Financial Supervisory Authority (BaFin) imposed an administrative fine of 12,975,000 euros on Citigroup Global Markets Europe AG. The fine was imposed because the company had contravened obligations under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG).

Format Measure Erscheinung: from 19.06.2024 Stand: , updated on 03.07.2024 An­nounce­ment

The Federal Financial Supervisory Authority (BaFin) has imposed an administrative fine amounting to 8,000 euros on an individual in a management position at an issuer domiciled in Germany. The company, which is domiciled in Germany and issues securities traded on an organised market in Germany, had failed to publish an announcement about the date from which and the website where its 2022 annual …

Format Measure Erscheinung: from 12.06.2024 Stand: , updated on 18.06.2024 An­nounce­ment SFC En­er­gy AG

On 21 May 2024, the Federal Financial Supervisory Authority (BaFin) imposed an administrative fine amounting to 189,000 euros on SFC Energy AG. 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 publish ist half-yearly financial report for the financial year 2022.

Format Measure Erscheinung: from 05.06.2024 Stand: , updated on 17.06.2024 An­nounce­ment Epige­nomics AG

On 8 April 2024, the Federal Financial Supervisory Authority (BaFin) imposed an administrative fine amounting to 25,000 euros on Epigenomics AG. 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 publish the total number of voting rights held by shareholders in the company …

Format Measure Erscheinung: from 04.06.2024 Pub­li­ca­tion of fi­nan­cial re­ports: Fed­er­al Of­fice of Jus­tice im­pos­es dis­ci­plinary fine on ZhongDe Waste Tech­nol­o­gy AG

On 2 April 2024, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 1,000,000 euros on ZhongDe Waste Technology AG

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