Participation of the Bundesanstalt and communications in criminal matters

(1) The public prosecution office informs the Bundesanstalt of the institution of investigative proceedings concerning offences under section 119. Where expert witnesses are needed in the investigative proceedings, qualified staff of the Bundesanstalt may be engaged. The Bundesanstalt must be notified of the indictment, the application for a penalty order, and the discontinuance of the proceedings. Where the public prosecution office is considering discontinuing the proceedings, it must first consult the Bundesanstalt.
(2) In proceedings concerning offences under section 119, the court notifies the Bundesanstalt of the date of the main hearing and of the decision concluding the proceedings.
(3) The Bundesanstalt must, on application, be granted access to the case files, unless this is precluded by interests of the person concerned that merit protection, or the success of the investigation would be jeopardised.
(4) In criminal proceedings against owners or managers of investment services undertakings, or their statutory representatives or personally liable partners, concerning offences to the detriment of clients committed in the course of, or in connection with, the operation of the investment services undertaking, and further in criminal proceedings concerning offences under section 119, the following must, where public charges are brought, be transmitted to the Bundesanstalt: 1. the indictment or an application taking its place, 2. the application for a penalty order, and 3. the decision concluding the proceedings, with reasons; where an appeal has been lodged against the decision, the decision must be transmitted with an indication of the appeal lodged. In proceedings concerning offences committed negligently, the transmissions specified in nos. 1 and 2 are made only where, in the view of the transmitting body, decisions or other measures by the Bundesanstalt are urgently required.
(5) Where facts otherwise become known in a criminal proceeding that suggest irregularities in the business operations of an investment services undertaking, the court, the prosecuting authority, or the enforcement authority should likewise notify these facts, unless it is apparent to the transmitting body that interests of the person concerned that merit protection outweigh this. In doing so, regard must be had to how well established the findings to be transmitted are.