Involvement of the Federal Institute and communications in criminal matters

(1) In criminal proceedings against holders of significant participations, managers, or members of the administrative or supervisory bodies of management companies, externally managed investment companies, or depositaries, or their respective legal representatives or general partners with personal liability, for infringement of their professional duties or other criminal offences committed in or in connection with the exercise of a trade or the operation of any other economic undertaking, and further in criminal proceedings concerning offences under section 339, the court, the prosecuting authority, or the enforcement authority must, where public charges are brought, transmit to the Federal Institute 1. the bill of indictment or an application taking its place, 2. the application for the issue of a penalty order, and 3. the decision concluding the proceedings, with reasons; where an appeal has been lodged against the decision, the decision is to be transmitted with a reference to the appeal lodged. In proceedings concerning negligently committed offences, the transmissions specified in points 1 and 2 are made only where, in the view of the transmitting body, decisions or other measures by the Federal Institute are urgently required.
(2) In criminal proceedings concerning offences under section 339, the public prosecutor's office must inform the Federal Institute already of the initiation of the investigation proceedings, insofar as this is not expected to endanger the purpose of the investigation. Where the public prosecutor's office considers discontinuing the proceedings, it must hear the Federal Institute.
(3) Where facts otherwise become known in criminal proceedings that indicate irregularities in the business operations of a management company, an externally managed investment company, or a depositary, the court, the prosecuting authority, or the enforcement authority should likewise communicate these facts, insofar as it is not apparent to the transmitting body that interests of the person concerned deserving of protection outweigh this. In doing so, regard must be had to how well-established the findings to be transmitted are.
(4) The Federal Institute is to be granted access to files on application, insofar as it is not apparent to the body granting access to files that interests of the person concerned deserving of protection outweigh this. Subsection (3), second sentence, applies correspondingly.