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Please note that entries from the BaFin databases are not covered by the search function. If you would like to know whether an institution or company hold an authorisation, have passed the notification procedure or have established a representative office in Germany, please use our database of companies. Other databases are also available, for example for searching for funds, prospectuses or contracted brokers.
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Topic Prospectuses, Consumer protectionasuco Vertriebs GmbH: Evidence indicates no prospectus published
The Federal Financial Supervisory Authority (BaFin) has evidence indicating that asuco Vertriebs GmbH is offering capital investments to the public in Germany in the form of registered bonds from asuco Immobilien-Sachwerte GmbH & Co. KG. These bonds are being offered under the names “ZweitmarktZins 35-2023” and “ZweitmarktZins 43-2023”.
Topic Prospectuses, Consumer protectionFyshr AG: evidence indicates no securities information sheet published
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that Fyshr AG is offering securities in the form of shares to the public in Germany, without the required securities information sheet. The shares have a nominal value of 1,0166 Euro and an issue price of 1,50 Euro. There are no indications that the conditions for exemption from this requirement are met.
Topic MeasuresAnnouncement 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).
Topic MeasuresAnnouncement
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 …
Topic MeasuresAnnouncement 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.
Topic MeasuresAnnouncement 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 …
Topic Prospectuses, Consumer protectionThe Sports Museum: grounds to suspect securities are being offered to the public without the required prospectus
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that The CR Sports Consulting GmbH – also known as “The Sports Museum” – is offering securities in the form of qualified subordinated tokenised participation rights called “ETH 735 Nominal Value Class 30 Main Revenue Participation Rights” (token ID 241254140884287510) and “EUR 7.5 Million Nominal Value …
Topic Prospectuses, Consumer protectionThe Sports Museum: evidence indicates no securities information sheet published
The Federal Financial Supervisory Authority (BaFin) has sufficient grounds to suspect that The CR Sports Consulting GmbH – also known as “The Sports Museum” – is offering securities in the form of qualified subordinated tokenised participation rights called “ETH 2,308 Nominal Value ‘PELE MAIN’ Revenue Participation Rights” (token ID 228123416274665488) and “ETH 1,439 Nominal Value ‘Vienna 4 …
Topic MeasuresPublication 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
Topic MeasuresPublication 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
Topic MeasuresAnnouncement regarding Oldenburgische Landesbank AG: BaFin imposes higher own funds requirements and orders bank to remedy shortcomings
On 30 January 2024, BaFin issued an order to Oldenburgische Landesbank AG in accordance with section 10 (3) sentence 1 in conjunction with sentence 2 no. 2 of the German Banking Act (Kreditwesengesetz – KWG) requiring it to hold additional own funds. Furthermore, the bank must remedy shortcomings in its business organisation in accordance with section 25a (2) sentence 2 of the KWG as well as …
Topic MeasuresAnnouncement regarding Baader Bank AG
On 17 May 2024, BaFin ordered Baader Bank AG to clear delays in securities account transfers. In addition, the bank must take organisational measures to ensure that it can execute client orders promptly in future.
Topic MeasuresAnnouncement about ZhongDe Waste Technology AG
On 24 April 2024, the Federal Financial Supervisory Authority (BaFin) imposed coercive fines in the amount of 141,250 euros on ZhongDe Waste Technology AG. In February 2024, BaFin had ordered ZhongDe Waste Technology AG to comply with the financial reporting requirements under the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). The company has failed to comply with this order.
Topic MeasuresAnnouncement
On 28 March 2024, BaFin imposed an administrative fine amounting to 62,000 euros on Neon Equity AG on the grounds that the company had violated the Market Abuse Regulation (MAR) by failing to submit a notification of an own account transaction within the prescribed period.
Topic MeasuresAnnouncement
The Federal Financial Supervisory Authority (BaFin) has sent a special commissioner to FNZ Bank SE and Fondsdepot Bank GmbH. The special commissioner will monitor how the institutions ensure that they have in place a proper business organisation. In addition, BaFin has ordered Fondsdepot Bank GmbH to promptly process its outstanding customer orders and complaints
Topic MeasuresMr. Zongbin Li / Nakiki SE: BaFin makes voting rights notification by way of self-execution
On 26. March 2024, the financial supervisory authority BaFin made a voting rights notification for Mr. Zongbin Li. Mr. Zongbin Li had failed to notify its voting rights in Nakiki SE.
Topic MeasuresMr. Delin Xiong / Nakiki SE: BaFin makes voting rights notification by way of self-execution
On 26. March 2024 the financial supervisory authority BaFin made a voting rights notification for Mr. Delin Xiong. Mr. Delin Xiong had failed to notify its voting rights in Nakiki SE.
Topic MeasuresAnnouncement MTU Aero Engines AG
On 1 March 2024, the Federal Financial Supervisory Authority (BaFin) imposed an administrative fine amounting to 510,000 euros on MTU Aero Engines AG on grounds that the company had violated the Market Abuse Regulation (MAR) by failing to disclose inside information without undue delay.
Topic MeasuresAnnouncement
The Federal Financial Supervisory Authority (BaFin) has imposed an administrative fine of 50,000 euros on Deutsche Bank AG. The fine was imposed because BaFin ascertained that the institution had communicated incorrect information regarding a major customer-relevant IT security incident occurring in the provision of payment services in 2023. Moreover, the bank had informed BaFin of the incident …
Topic Prospectuses, Consumer protection“Konzept More”: evidence indicates no prospectus published
The Financial Supervisory Authority (BaFin) has grounds to suspect that Berformance Group AG, Suxxess One GmbH and Block4you s.r.o. are publicly offering the investment product ”Konzept More” in Germany without the required prospectus. The product offers combined lease and sub-lease agreements for crypto ATMs and mining hardware.
