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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:
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
20.03.2024 An­nounce­ment MTU Aero En­gines AG
22.02.2024 An­nounce­ment about ZhongDe Waste Tech­nol­o­gy AG
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

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:
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
21.07.2022 BaFin im­pos­es ad­min­is­tra­tive fine

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Publications on this topic

Format Measure Erscheinung: from 29.05.2024 An­nounce­ment 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 …

Format Measure Erscheinung: from 23.05.2024 An­nounce­ment 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.

Format Measure Erscheinung: from 06.05.2024 Stand: , updated on 28.05.2024 An­nounce­ment 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.

Format Measure Erscheinung: from 22.04.2024 An­nounce­ment

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.

Format Measure Erscheinung: from 18.04.2024 An­nounce­ment

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

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