Notification of cases of suspicion

(1) Investment services undertakings, other credit institutions, management companies, and operators of off-exchange markets on which financial instruments are traded, must, on establishing facts giving rise to a suspicion that a transaction in financial instruments, for which the Bundesanstalt is the competent authority within the meaning of Article 2(1), letter j) of Regulation (EU) No 236/2012, breaches Article 12, 13 or 14 of Regulation (EU) No 236/2012, notify this to the Bundesanstalt without delay. They may not inform persons other than state bodies, and persons subject by virtue of their profession to a statutory duty of confidentiality, of the notification or of an investigation subsequently initiated as a result.
(2) The content of a notification under subsection (1) may be used by the Bundesanstalt only to perform its tasks. The Bundesanstalt may not make the identity of a person giving notice under subsection (1) accessible to bodies other than state bodies. The right of the Bundesanstalt under section 123 remains unaffected.
(3) A person who makes a notification under subsection (1) may not be held responsible on account of that notification, unless the notification was made knowingly or through gross negligence in an untrue manner.
(4) The Federal Ministry of Finance may, by statutory instrument not requiring the consent of the Bundesrat, adopt further provisions on
1. the form and content of a notification under subsection (1), and
2. the manner of transmitting a notification under Article 16(1) and (2) of Regulation (EU) No 596/2014. The Federal Ministry of Finance may transfer this authorisation, by statutory instrument, to the Bundesanstalt.