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Surveillance of Issuer's Obligations
Issuers with financial instruments admitted to trading in Boerse Muenchen's regulated market are due to legal admission obligations.The specific obligations result from various securities laws such as the Securities Trading Act (wpHG), the Securities Acquisition and Takeover Act (WpÜG) and numerous legal acts of the European Union.
The Rules and Regulations of Boerse Munich, specifically the Stock Exchange Regulations, do not establish exeeding issuer's obligations.
The Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) is responsible for the surveillance of named legal admission obligations. It records and publishes the surveillance activities on their website. The announcements can be accessed here (in German).
According to § 39 (1) alt. 2 of the Stock Exchange Act (BörsG) the exchange's executive board may revoke the trading admission for the regulated market if the issuer is not fulfilling its admission duties in due time. In this case Boerse Muenchen considers BaFin's surveillance functions according to § 37 (2) of the Boersenordnung (BoersO). This incudes announcements of BaFin.
Possible actions according to above mentioned regulations will be published by Boerse Muenchen on their website as part of the daily announcements (see above).
Important adress data
Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin)
Tel.: +49 228 4108–0
Fax.: +49 228 4108–123
Bayerisches Staatsministerium für Wirtschaft und Medien, Energie und Technologie
Referat 54 Banken, Boersen, Versicherungen,
Tel.: +49 89 2162-0
Fax: +49 89 2162-2670
European Securities and Markets Authority
103 rue de Grenelle
75007 Paris, Frankreich
Tel.: +33 1 583643-21
Fax.: +33 1 583643-30