Participation of the Federal Institute and communications in criminal matters

(1) In criminal proceedings against owners, managers, or members of the administrative or supervisory bodies of institutions or financial holding companies, and against holders of significant participating interests in institutions, or their legal representatives or personally liable partners, for breach of their professional duties or other criminal offences committed in or in connection with the exercise of a trade or the operation of another economic undertaking, and further in criminal proceedings whose subject is offences under section 54, the court, the prosecuting authority, or the sentence-enforcement authority must, where public charges are brought, transmit to the Federal Institute
1. the indictment or an application taking its place,
2. the application for the issuance of a penalty order, and
3. the decision concluding the proceedings, with its reasoning; where an appeal has been lodged against the decision, the decision must be transmitted with a note of the appeal lodged. In proceedings concerning negligently committed offences, the transmissions specified in points 1 and 2 are made only where, from the transmitting body's point of view, immediate decisions or other measures by the Federal Institute are called for.
(1a) In criminal proceedings whose subject is offences under section 54, the public prosecutor's office must inform the Federal Institute of the initiation of the investigation proceedings at that early stage, insofar as this is not expected to jeopardise the purpose of the investigation. Where the public prosecutor's office considers discontinuing the proceedings, it must hear the Federal Institute.
(2) Where facts otherwise become known in criminal proceedings that indicate irregularities in an institution's business operations, the court, the prosecuting authority, or the sentence-enforcement authority should likewise communicate these facts, unless it is apparent to the transmitting body that interests of the person concerned warranting protection predominate. In doing so, regard must be had to how well-established the findings to be transmitted are.
(3) The Federal Institute must be granted access to the files upon request, unless it is apparent to the body granting access that interests of the person concerned warranting protection predominate. Subsection (2), second sentence, applies correspondingly.