{"kind":"evidence_file","company":{"id":"11ec66bd-5153-4af8-b09c-8e0fa1b5e74d","name":"flatexDEGIRO Bank AG","mergedInto":null},"asOf":"2026-10-25T00:50:37.721Z","asOfBasis":"instant","generatedAt":"2026-10-27T18:07:00.963Z","claims":[{"predicate":"name","value":"flatexdegiro bank ag","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14514","observedAt":"2026-09-12T19:08:51.207Z","confirmedAt":"2026-10-23T12:00:19.774Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"DE","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn14514","observedAt":"2026-09-12T19:08:51.210Z","confirmedAt":"2026-10-23T12:00:19.778Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"14514","regime":"Federal Financial Supervisory Authority (BaFin)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:51.221Z","designatedAt":"2025-12-16T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Die Finanzaufsicht BaFin hat am 16. Dezember 2025 Geldbußen in Höhe von insgesamt 560.000 Euro gegen die flatexDEGIRO Bank AG festgesetzt. Der Sanktion lagen Verstöße gegen § 63 Absatz 6 Satz 1 WpHG in Verbindung mit Artikel 44 Absatz 2 Buchstabe b bis e der Delegierten Verordnung (EU) 2017/565 zugrunde. Die flatexDEGIRO Bank AG hatte Anfang des Jahres 2022 auf zwei ihrer Webseiten Informationen zugänglich gemacht, die nicht redlich, nicht eindeutig und irreführend waren. Das Unternehmen kann gegen den Bußgeldbescheid Einspruch einlegen. Aktualisierung (08.01.2026): Der Bußgeldbescheid ist rechtskräftig.\n\n[original (German)]\n\nOn 16 December 2025, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines totalling 560,000 euros on flatexDEGIRO Bank AG. The sanction related to breaches of section 63 (6) sentence 1 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) in conjunction with Article 44(2)(b)-(e) of Delegated Regulation (EU) 2017/565. At the beginning of 2022, flatexDEGIRO Bank AG made information available on two of its websites that failed to comply with the requirement of being fair, clear and not misleading. The company may lodge an appeal against the administrative fine order. Update (08.01.2026): The administrative fine order is final and binding.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14514","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"14514","regime":"Federal Financial Supervisory Authority (BaFin)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:36.055Z","recordedAt":"2026-09-12T19:14:36.055Z","designatedAt":"2025-12-16T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Die Finanzaufsicht BaFin hat am 16. Dezember 2025 Geldbußen in Höhe von insgesamt 560.000 Euro gegen die flatexDEGIRO Bank AG festgesetzt. Der Sanktion lagen Verstöße gegen § 63 Absatz 6 Satz 1 WpHG in Verbindung mit Artikel 44 Absatz 2 Buchstabe b bis e der Delegierten Verordnung (EU) 2017/565 zugrunde. Die flatexDEGIRO Bank AG hatte Anfang des Jahres 2022 auf zwei ihrer Webseiten Informationen zugänglich gemacht, die nicht redlich, nicht eindeutig und irreführend waren. Das Unternehmen kann gegen den Bußgeldbescheid Einspruch einlegen. Aktualisierung (08.01.2026): Der Bußgeldbescheid ist rechtskräftig.\n\n[original (German)]\n\nOn 16 December 2025, the Federal Financial Supervisory Authority (BaFin) imposed administrative fines totalling 560,000 euros on flatexDEGIRO Bank AG. The sanction related to breaches of section 63 (6) sentence 1 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) in conjunction with Article 44(2)(b)-(e) of Delegated Regulation (EU) 2017/565. At the beginning of 2022, flatexDEGIRO Bank AG made information available on two of its websites that failed to comply with the requirement of being fair, clear and not misleading. The company may lodge an appeal against the administrative fine order. Update (08.01.2026): The administrative fine order is final and binding.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn14514","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"ESMA Sanctions Register","readAt":"2026-10-23T12:00:38.517Z","recordsRead":845,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."}],"reading":{"assessmentId":"33e17130-883f-4da9-83ef-130ccf1ca3c2","takenAt":"2026-09-12T19:15:01.619Z","methodology":"v4","level":"medium","overall":65,"digest":"1db4bbe1f12c1a23e4f1e3495ee74fb2b4f9f492","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:14:40.601Z"}],"dimension":"sanctions"}],"jurisdictions":[{"gap":"No company register for this jurisdiction has been connected to this system, and none has been examined.","reasons":["registered here"],"countryId":"DE","registers":[]}]},"ownership":null},"limits":["Whether each listing was in force is rebuilt from what was recorded here: when it was first read, when a source stopped or resumed carrying it, and when its published term ended. A listing in force at an authority before this system first read it is shown from that first read.","No ownership verdict is kept for this company. Verdicts are kept for companies registered where shareholders are read here: Estonia, Latvia and Poland."]}