Verwarnung eines Geschäftsleiters
- Entity
- –
- Published
- 9 Mar 2020
- Incident Period
- –
- Decision date
- –
- Final
- –
- Penalty
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- Legal Section
- –
- Sanctioning statute
- –
- Substantive law
- –
- 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 ein Mitglied der Geschäftsleitung eines Versicherungsunternehmens wegen Verstoßes gegen aufsichtsrechtliche Pflichten im Governance -Bereich Risikomanagement gemäß § 303 Absatz 1 Versicherungsaufsichtsgesetz (VAG) verwarnt.
Festgestellt wurden Verstöße gegen die §§ 23, 26, 27 VAG und Artikel 259 Absatz 1 a), c), 262, 269 Delegierte Verordnung (EU) 2015/35.
Die Verwarnung ist bestandskräftig.
Source
Classifications are rule-based, not legal interpretations. Verify against the source before relying on this record.
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