BaFin-Strafen bei Marktm manipulation
Definition
Market surveillance failures result in regulatory fines from BaFin for inadequate monitoring of trading irregularities and manipulation under German Stock Exchange Act.
Key Findings
- Financial Impact: €448 Mio. fines (ähnliche Fälle 2024); typisch €50.000-500.000 pro Verstoß
- Frequency: Pro Untersuchung durch BaFin oder ESA Hessen
- Root Cause: Incomplete data feeds and uncalibrated surveillance tools failing to detect manipulation
Why This Matters
This pain point represents a significant opportunity for B2B solutions targeting Securities and Commodity Exchanges.
Affected Stakeholders
Compliance Officer, Trading Surveillance Office (TSO), Exchange Management
Deep Analysis (Premium)
Financial Impact
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Current Workarounds
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Methodology & Sources
Data collected via OSINT from regulatory filings, industry audits, and verified case studies.
Related Business Risks
Manuelle Überwachungskosten
Fehlinvestitionen in Surveillance
Data Act Verstoßstrafen bei Datenlizenzierung
Fehlende Rechnungsstellung für Mindestgebühren
Jährliche Listing-Gebühren Verzug
Bußgelder bei HFT-Zirkuitbrecher-Verstößen
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