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Case C-140/13: Judgment of the Court (Second Chamber) of 12 November 2014 (request for a preliminary ruling from the Verwaltungsgericht Frankfurt am Main — Germany) — Annett Altmann and Others v Bundesanstalt für Finanzdienstleistungsaufsicht (Reference for a preliminary ruling — Approximation of laws — Directive 2004/39/EC — Article 54 — Obligation of professional secrecy incumbent on national financial supervisory authorities — Information concerning a fraudulent investment firm in compulsory liquidation)
ECLI:EU:UNKNOWN:62013CA0140
62013CA0140
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19.1.2015
Official Journal of the European Union
C 16/3
(Case C-140/13) (<span class="super note-tag">1</span>)
(Reference for a preliminary ruling - Approximation of laws - Directive 2004/39/EC - Article 54 - Obligation of professional secrecy incumbent on national financial supervisory authorities - Information concerning a fraudulent investment firm in compulsory liquidation)
(2015/C 016/03)
Language of the case: German
Referring court
Parties to the main proceedings
Applicants: Annett Altmann, Torsten Altmann, Hans Abel, Waltraud Apitzsch, Uwe Apitzsch, Simone Arnold, Barbara Assheuer, Ingeborg Aubele, Karl-Heinz Aubele
Defendant: Bundesanstalt für Finanzdienstleistungsaufsicht
Intervening party: Frank Schmitt
Operative part of the judgment
Article 54(1) and (2) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC must be interpreted as meaning that, in administrative proceedings, a national supervisory authority may rely on the obligation to maintain professional secrecy against a person who, in a case not covered by criminal law and not in a civil or commercial proceeding, requests it to grant access to information concerning an investment firm which is in judicial liquidation, even where that firm’s main business model consisted in large scale fraud and wilful harming of investors’ interests and several executives of that firm have been sentenced to terms of imprisonment.
(<span class="note">1</span>) OJ C 156, 1.6.2013.
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