GoBD-Verstoß-Risiken bei unvollständigen Trade-Confirmations
Definition
Xetra-Reports müssen für BAWe-Meldungen (§9 WpHG) verwendet werden; fehlende oder verzögerte digitale Bestätigungen verletzen GoBD, insbesondere bei E-Invoicing-Mandat 2025.
Key Findings
- Financial Impact: €5.000+ pro GoBD-Verstoß; Betriebsprüfung-Kosten €20.000-100.000
- Frequency: Jährlich bei Audits
- Root Cause: Abhängigkeit von BOEGA-Format und manuellen Reports
Why This Matters
This pain point represents a significant opportunity for B2B solutions targeting Securities and Commodity Exchanges.
Affected Stakeholders
Compliance Officers, Trading Participants
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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
Kapazitätsverlust durch manuelle Trade-Bestätigungen
Verzögerte Abrechnung durch Trade-Matching-Fehler
Data Act Verstoßstrafen bei Datenlizenzierung
Fehlende Rechnungsstellung für Mindestgebühren
Jährliche Listing-Gebühren Verzug
Bußgelder bei HFT-Zirkuitbrecher-Verstößen
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