Official Notice of Sanctions and Other Actions
Under sec. 34d para. 11 of the German Trade, Commerce and Industry Regulation Act (GewO) for insurance brokers and sec. 34i para. 9 GewO for mortgage brokers, the relevant authority may publish final actions and sanctions imposed for violations of the rules governing admittance to and practice of the respective profession.
Furthermore, under the conditions of sec. 34d para. 11a GewO, the relevant authority publishes in this register any final decision made upon violation against Regulation (EU) 2022/2554 of the European Parliament and of the Council of 14 December 2022 on digital operational resilience for the financial sector and amending Regulations (EC) No 1060/2009, (EU) No 648/2012, (EU) No 600/2014, (EU) No 909/2014 and (EU) 2016/1011 (Official Journal of 27 December 2022, page 1) or the delegated legal instruments based thereupon.
These tables list published notices that have not been anonymised (notices are in German):
- Insurance Brokers: Non-anonymised notices
- Mortgage Brokers: Non-anonymised notices
In some circumstances, measures taken by the regulatory authority are anonymised before being made public. For example, where disclosure of personal data would be unreasonable or where disclosure would jeopardise the stability of financial markets or ongoing investigations.
These tables list published notices that have been anonymised (notices are in German):
- Insurance Brokers: Anonymised notices
- Mortgage Brokers: Anonymised notices