Baader Bank AG

• LiftedFederal Financial Supervisory Authority (BaFin)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  17 May 2024

  Reason given

  Die Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) hat gegenüber der Baader Bank AG mit Schreiben vom 17. Mai 2024 angeordnet, dass sie geeignete Vorkehrungen trifft, um Kundenaufträge nach den Vorgaben des § 69 Absatz 1 Satz 1 Nr. 1 Wertpapierhandelsgesetz (WpHG) unverzüglich auszuführen, dass die Bank gemäß § 69 Absatz 3 WpHG in Verbindung mit Artikel 67 Absatz 1 Buchstabe b) der Delegierten Verordnung (EU) 2017/565 den aufgetretenen Bearbeitungsrückstand bei Depotaufträgen abbaut und für den Fall, dass das Institut den Bearbeitungsrückstand nicht rechtzeitig abbaut, ein Zwangsgeld in Höhe von 200.000 Euro angedroht. Die Anordnungen ergehen auf Grundlage des § 6 Absatz 2 Satz 1 und 2 WpHG. Der Bescheid ist noch nicht bestandskräftig. Die Veröffentlichung erfolgt aufgrund des § 126 Absatz 1 WpHG [original (German)] In a letter dated 17 May 2024, the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) ordered Baader Bank AG: to take all reasonable steps to execute client orders promptly in accordance with the provisions under section 69 (1) sentence 1 no. 1 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG); to reduce the backlog in securities account transfers in accordance with section 69 (3) of the WpHG in conjunction with Article 67(1)(b) of Delegated Regulation (EU) 2017/565; and, in case the company fails to reduce the backlog in due time, BaFin also threatened to impose a coercive fine in the amount of 200,000 euros. The orders are issued on the basis of section 6 (2) sentences 1 and 2 of the WpHG. The notice has not yet become final. Publication of this order is based on section 126 (1) of the WpHG.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12848)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  12848

• In forceFederal Financial Supervisory Authority (BaFin)

  MiFID

  In this state since

  12 Sept 2026

  Designated

  17 May 2024

  Reason given

  Die Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) hat gegenüber der Baader Bank AG mit Schreiben vom 17. Mai 2024 angeordnet, dass sie geeignete Vorkehrungen trifft, um Kundenaufträge nach den Vorgaben des § 69 Absatz 1 Satz 1 Nr. 1 Wertpapierhandelsgesetz (WpHG) unverzüglich auszuführen, dass die Bank gemäß § 69 Absatz 3 WpHG in Verbindung mit Artikel 67 Absatz 1 Buchstabe b) der Delegierten Verordnung (EU) 2017/565 den aufgetretenen Bearbeitungsrückstand bei Depotaufträgen abbaut und für den Fall, dass das Institut den Bearbeitungsrückstand nicht rechtzeitig abbaut, ein Zwangsgeld in Höhe von 200.000 Euro angedroht. Die Anordnungen ergehen auf Grundlage des § 6 Absatz 2 Satz 1 und 2 WpHG. Der Bescheid ist noch nicht bestandskräftig. Die Veröffentlichung erfolgt aufgrund des § 126 Absatz 1 WpHG [original (German)] In a letter dated 17 May 2024, the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) ordered Baader Bank AG: to take all reasonable steps to execute client orders promptly in accordance with the provisions under section 69 (1) sentence 1 no. 1 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG); to reduce the backlog in securities account transfers in accordance with section 69 (3) of the WpHG in conjunction with Article 67(1)(b) of Delegated Regulation (EU) 2017/565; and, in case the company fails to reduce the backlog in due time, BaFin also threatened to impose a coercive fine in the amount of 200,000 euros. The orders are issued on the basis of section 6 (2) sentences 1 and 2 of the WpHG. The notice has not yet become final. Publication of this order is based on section 126 (1) of the WpHG.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn12848)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  12848

No ownership verdict was on file for this company on 25 October 2026.

As recorded by the assessment reading taken on 12 September 2026, 19:15 UTC, the newest on or before the date. Only “checked, not found” means a source was read in full and held nothing for the company.

Where the company is registered or connected

• DE: registered here

  No company register for this jurisdiction has been connected to this system, and none has been examined. No register here states who owns its companies.

• 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.

For each source behind this file, the newest read made on or before the date: the version of it that stood.

• ESMA Sanctions Register

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 845 records read.

Taken

12 September 2026, 19:15 UTC

Methodology

Version 4

Level

Medium

Score recorded

65 of 100

Digest

fe24be03ad6273d442beaca492567dfa7aad7deaA fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.

Reading id

d06cc87e-6a5f-491e-836e-6c176da6ce82

Address

https://apolika.com/entities/513acd60-5a87-4997-85de-fe55e6b36e99/evidence?as_of=2026-10-25The same address gives the same day's file tomorrow. What was recorded after the date is not in it.

As data

https://apolika.com/api/entities/513acd60-5a87-4997-85de-fe55e6b36e99/evidence?as_of=2026-10-25T00%3A49%3A09.056Z

Made

25 October 2026, 00:49 UTC