Involvement of the Bundesanstalt and communications in criminal matters

(1) The court, the prosecuting authority or the enforcement authority must, in criminal proceedings against holders, managers or members of the management or supervisory body of securities institutions or investment holding companies, and against holders of significant holdings in securities institutions or their statutory 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 commercial undertaking, and further in criminal proceedings concerning offences under section 82, transmit to the Bundesanstalt, in the event of the bringing of a public prosecution: 1. the indictment or a document taking its place; 2. the application for a penal order; and 3. the decision concluding the proceedings, with reasons. Where a legal remedy has been lodged against the decision, the decision must be transmitted together with a note of the remedy lodged. In proceedings concerning offences committed negligently, the transmissions specified in the first sentence, nos. 1 and 2 are made only where, from the perspective of the transmitting body, decisions or other measures of the Bundesanstalt are called for without delay.
(2) In criminal proceedings concerning offences under section 82, the prosecuting authority must inform the Bundesanstalt already of the opening of the investigation proceedings, 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 Bundesanstalt.
(3) Where facts otherwise become known in criminal proceedings indicating undesirable developments in the business of a securities institution, the court, the prosecuting authority or the enforcement authority should likewise communicate these facts, unless it is apparent to the transmitting body that the legitimate interests of the person concerned outweigh this. In doing so, regard must be had to how well established the findings to be transmitted are.
(4) The Bundesanstalt must, on application, be granted access to the files, unless it is apparent to the body granting access to the files that the legitimate interests of the person concerned outweigh this. Subsection (3), second sentence applies correspondingly.