Transaction report (mandatory transaction report)

Pursuant to § 9 of the Securities Trading Act (WpHG), financial service providers must report all transactions in financial instruments to the Federal Financial Supervisory Authority (BaFin). In 2006 (2005), BaFin received 707 million (560 million) such reports, which are examined for possible market abuse and insider transactions. – See Insider Reporting Obligation, Nominee, Sarbanes-Oxley Act, System Securities Watch Application (SWAP). – Cf. BaFin Annual Report 2006, p. 164 f (suspected cases) and the respective BaFin Annual Report, chapter “Supervision of Banks, Financial Service Providers and Payment Institutions.

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University Professor Dr. Gerhard Merk, Dipl.rer.pol., Dipl.rer.oec.
Professor Dr. Eckehard Krah, Dipl.rer.pol.
E-mail address: info@ekrah.com
https://de.wikipedia.org/wiki/Gerhard_Ernst_Merk
https://www.jung-stilling-gesellschaft.de/merk/
https://www.gerhardmerk.de/