Aktivierung risikorelevanten Institutswissens durch Strafrecht

The thesis deals with the interface between criminal law and supervisory law. Using the example of Section 54a of the German Banking Act (KWG), it empirically examines how criminal law fits into areas of principle-based (financial) supervision.
In order to benefit from the cognitive potential of institutions, the legislator standardizes procedural requirements for risk management with Section 25c (4a) KWG and leaves the concrete way of implementing these requirements to the institutions. At the same time, the legislator has made a violation of these risk management requirements punishable by law in Section 54a of the German Banking Act (KWG). This inevitably leads to tensions – in particular with the objectives of supervisory law and the generation of knowledge within the banks as standardized by the legislator.