BaFin setzt Geldbuße fest
- Entity
- Anonymous
- Published
- 4 Jan 2023
- Incident Period
- –
- Decision date
- 20 Dec 2022
- Final
- –
- Penalty
- €40,000
- Legal Section
- § 114 Abs. 1 Satz 2 WpHG
- Sanctioning statute
- Wertpapierhandelsgesetz (WpHG)
- Substantive law
- Wertpapierhandelsgesetz (WpHG)
- 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 am 20. Dezember 2022 gegen eine Leitungsperson eines Inlandsemittenten eine Geldbuße in Höhe von 40.000 Euro wegen eines Verstoßes gegen § 114 Absatz 1 Satz 2 Wertpapierhandelsgesetz (WpHG) festgesetzt.
Gegen den Bußgeldbescheid kann Einspruch eingelegt werden.
Aktualisierung (12.01.2023):
Der Bußgeldbescheid ist rechtskräftig.
Source
Classifications are rule-based, not legal interpretations. Verify against the source before relying on this record.
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