{"kind":"evidence_file","company":{"id":"f1cf9f74-1cae-429b-89a6-7d03341883ba","name":"Oldenburgische Landesbank AG","mergedInto":null},"asOf":"2026-10-25T00:48:56.693Z","asOfBasis":"instant","generatedAt":"2026-10-27T02:41:31.874Z","claims":[{"predicate":"identifier","value":"lei:5299008I0TO44SUINZ71","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12865","observedAt":"2026-09-12T19:08:33.821Z","confirmedAt":"2026-10-23T12:00:18.260Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"name","value":"oldenburgische landesbank ag","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn12865","observedAt":"2026-09-12T19:08:33.808Z","confirmedAt":"2026-10-23T12:00:18.246Z","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":"sn12865","observedAt":"2026-09-12T19:08:33.811Z","confirmedAt":"2026-10-23T12:00:18.249Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"12865","regime":"Federal Financial Supervisory Authority (BaFin)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:33.828Z","designatedAt":"2024-01-30T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Die BaFin hat am 30. Januar 2024 gegenüber der Oldenburgischen Landesbank AG gemäß § 10 Absatz 3 Satz 1 in Verbindung mit Satz 2 Nummer 2 des Kreditwesengesetzes (KWG) zusätzliche Eigenmittelanforderungen angeordnet. Außerdem muss die Bank Mängel an der Geschäftsorganisation gemäß § 25a Absatz 2 Satz 2 KWG und weitere Mängel in der Organisation des Wertpapiergeschäfts beseitigen. Das Institut hat gegen die Anforderungen an eine ordnungsgemäße Geschäftsorganisation im Sinne des § 25a Absatz 1 KWG verstoßen. Nach einer vorgenommenen Sonderprüfung im Jahr 2023 war die Ordnungsmäßigkeit der Geschäftsorganisation im Sinne von § 25a Absatz 1 KWG bei der Oldenburgischen Landesbank AG nicht in allen geprüften Bereichen gegeben. Eine andere in den Jahren 2022 und 2023 durchgeführte Sonderprüfung nach § 88 Wertpapierhandelsgesetz (WpHG) deckte weitere Verstöße gegen die Organisationspflichten nach §§ 80, 81 WpHG sowie nach den Artikeln 21, 22, 25 der Delegierten Verordnung (EU) 2017/565 auf. Die Maßnahmen sind seit dem 15. März 2024 bestandskräftig. Die Veröffentlichung erfolgt aufgrund von § 60b KWG und § 126 WpHG.\n\n[original (German)]\n\nOn 30 January 2024, BaFin issued an order to Oldenburgische Landesbank AG in accordance with section 10 (3) sentence 1 in conjunction with sentence 2 no. 2 of the German Banking Act (Kreditwesengesetz – KWG) requiring it to hold additional own funds. Furthermore, the bank must remedy shortcomings in its business organisation in accordance with section 25a (2) sentence 2 of the KWG as well as additional shortcomings in the organisation of its securities business. The institution had violated the requirements for proper business organisation within the meaning of section 25a (1) of the KWG. A special inspection in 2023 concluded that the business organisation within the meaning of section 25a (1) of the KWG could not be deemed proper in all inspected areas at Oldenburgische Landesbank AG. Another special inspection conducted in 2022 and 2023 under section 88 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) revealed additional violations of the organisational requirements set out in sections 80 and 81 of the WpHG as well as in Articles 21, 22 and 25 of Delegated Regulation (EU) 2017/565. The measures have been final and binding since 15 March 2024. Publication of these orders is based on section 60b of the KWG and section 126 of the WpHG.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12865","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"12865","regime":"Federal Financial Supervisory Authority (BaFin)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:34.463Z","recordedAt":"2026-09-12T19:14:34.463Z","designatedAt":"2024-01-30T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"Die BaFin hat am 30. Januar 2024 gegenüber der Oldenburgischen Landesbank AG gemäß § 10 Absatz 3 Satz 1 in Verbindung mit Satz 2 Nummer 2 des Kreditwesengesetzes (KWG) zusätzliche Eigenmittelanforderungen angeordnet. Außerdem muss die Bank Mängel an der Geschäftsorganisation gemäß § 25a Absatz 2 Satz 2 KWG und weitere Mängel in der Organisation des Wertpapiergeschäfts beseitigen. Das Institut hat gegen die Anforderungen an eine ordnungsgemäße Geschäftsorganisation im Sinne des § 25a Absatz 1 KWG verstoßen. Nach einer vorgenommenen Sonderprüfung im Jahr 2023 war die Ordnungsmäßigkeit der Geschäftsorganisation im Sinne von § 25a Absatz 1 KWG bei der Oldenburgischen Landesbank AG nicht in allen geprüften Bereichen gegeben. Eine andere in den Jahren 2022 und 2023 durchgeführte Sonderprüfung nach § 88 Wertpapierhandelsgesetz (WpHG) deckte weitere Verstöße gegen die Organisationspflichten nach §§ 80, 81 WpHG sowie nach den Artikeln 21, 22, 25 der Delegierten Verordnung (EU) 2017/565 auf. Die Maßnahmen sind seit dem 15. März 2024 bestandskräftig. Die Veröffentlichung erfolgt aufgrund von § 60b KWG und § 126 WpHG.\n\n[original (German)]\n\nOn 30 January 2024, BaFin issued an order to Oldenburgische Landesbank AG in accordance with section 10 (3) sentence 1 in conjunction with sentence 2 no. 2 of the German Banking Act (Kreditwesengesetz – KWG) requiring it to hold additional own funds. Furthermore, the bank must remedy shortcomings in its business organisation in accordance with section 25a (2) sentence 2 of the KWG as well as additional shortcomings in the organisation of its securities business. The institution had violated the requirements for proper business organisation within the meaning of section 25a (1) of the KWG. A special inspection in 2023 concluded that the business organisation within the meaning of section 25a (1) of the KWG could not be deemed proper in all inspected areas at Oldenburgische Landesbank AG. Another special inspection conducted in 2022 and 2023 under section 88 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) revealed additional violations of the organisational requirements set out in sections 80 and 81 of the WpHG as well as in Articles 21, 22 and 25 of Delegated Regulation (EU) 2017/565. The measures have been final and binding since 15 March 2024. Publication of these orders is based on section 60b of the KWG and section 126 of the WpHG.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12865","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":"97aa9f9f-97d0-4a5f-b0f8-1d24dc440473","takenAt":"2026-09-12T19:14:39.752Z","methodology":"v4","level":"medium","overall":65,"digest":"ee3e03f61b500580de2df03c70ef323edfc49a1d","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:11:10.666Z"}],"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."]}