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Topic Measures Administrative fine proceedings

Article from the Annual Report 2016 of the BaFin

Administrative fines

Selected cases

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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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