Verwarnung eines Geschäftsleiters
- Entity
- Anonymous
- Published
- 13 Dec 2018
- Incident Period
- –
- Decision date
- 4 Oct 2018
- Final
- 16 Nov 2018
- Penalty
- –
- Legal Section
- § 36 Abs. 2 KWG
- Sanctioning statute
- Kreditwesengesetz (KWG)
- Substantive law
- Kreditwesengesetz (KWG)
- Source regulator
- BaFin
Structured fields are extracted automatically. A dash means the value could not be reliably extracted; the original notice below is always complete. Sanctioning statute is the law the measure is based on; Substantive law is the law whose obligations were breached — often the same, but they differ when the sanction rests on a general provision (e.g. a fine under OWiG § 130 for failing to prevent a GwG breach).
Original notice text (German)
Die BaFin hat mit Schreiben vom 4. Oktober 2018 gemäß § 36 Absatz 2 Kreditwesengesetz (KWG) den Geschäftsleiter eines Kreditinstitutes verwarnt. Grund hierfür waren insbesondere Verstöße gegen die Organisationsanforderungen des § 25a Absatz 1 KWG.
Die Maßnahme ist seit dem 16. November 2018 rechtskräftig.
Source
Classifications are rule-based, not legal interpretations. Verify against the source before relying on this record.
📋 Track EU financial regulation continuously
Forseti monitors EU financial regulation and delivers personalised alerts anchored to verified official sources.
14-day free trial. No credit card required.