Every sub-gate returns three things: a result (pass, warn, block), a list of errors with severity and rule reference, and an applicable: true|false marker. Non-applicable sub-gates are not included in the aggregation. Frameworks 11 and 16 (marked with ★) are the forensic special frameworks for defensible C-level evidence.
FRAMEWORK 1
Geldwäschegesetz (GwG)
§§5, 10, 11, 43 GwG
Applicable always
Customer due diligence before onboarding, enhanced diligence from €15,000, UBO identification. Missing duty: BLOCK.
FRAMEWORK 2
Kreditwesengesetz (KWG)
§§25a, 25b, 44 KWG
Banks / credit institutions / payment institutions only
Risk management system must be documented, otherwise BLOCK; internal audit and outsourcing register otherwise WARN.
FRAMEWORK 3
Wertpapierhandelsgesetz (WpHG)
§§38, 26, 80 WpHG, MAR
Securities, equity, derivatives, fund transactions
Ad-hoc disclosure must be published, otherwise BLOCK; directors' dealings and compliance officer otherwise WARN.
FRAMEWORK 4
BDSG & DSGVO
§§64, 22 BDSG, Art. 30/32/37 GDPR
Applicable always
Register of processing activities must be maintained, otherwise BLOCK; special data categories require a data protection officer, otherwise BLOCK.
FRAMEWORK 5
IT-Sicherheitsgesetz 2.0 & BSIG
§§8a, 8b BSIG
CRITIS operators only
Security concept and BSI registration mandatory, otherwise BLOCK; audit and incident reporting otherwise WARN.
FRAMEWORK 6
Zahlungsdiensteaufsichtsgesetz (ZAG)
§§10, 12, 17 ZAG
Payments, SEPA, SWIFT, instant payments, e-money
ZAG licence and segregation of client funds mandatory, otherwise BLOCK; initial capital otherwise WARN.
FRAMEWORK 7
Grunderwerbsteuergesetz (GrEStG)
§§18, 1(3a) GrEStG
Purchase, sale, real estate
Notification to the tax office and the share-deal supplementary rule (90%) mandatory, otherwise BLOCK; UBO chain otherwise WARN.
FRAMEWORK 8
Kapitalanlagegesetzbuch (KAGB)
§§44, 68, 166 KAGB
Investment funds, AIFs, UCITS
BaFin registration as management company and depositary mandatory, otherwise BLOCK; key investor information otherwise WARN.
FRAMEWORK 9
Makler- und Bauträgerverordnung (MaBV)
§§3, 7 MaBV, §34c GewO
Purchase, sale, letting, brokerage
Trade licence mandatory, otherwise BLOCK; escrow account and construction-fund security otherwise WARN.
FRAMEWORK 10
Gebäudeenergiegesetz (GEG)
§§10, 65, 71, 85 GEG
Whenever a property_type is specified
Oil- or fossil-gas-fired heating or renewable share under 65% is mandatory BLOCK; energy certificate otherwise WARN.
★ FRAMEWORK 11
§ 30 Abs. 2a OWiG n.F. — SLE-Attestierung
§30(2a) OWiG (government bill)
The forensic core of the gate
sle_eligible = true only if preventive_compliance_system_documented, t0_execution_lock_evidenced, and warranty_token_referenced are all true. Proof standard: DETERMINISTIC_T0_EXECUTION_LOCK.
FRAMEWORK 12
Lieferkettensorgfaltspflichtengesetz (LkSG)
§§5, 6, 8, 24 LkSG
From 1,000 employees
Missing risk analysis or policy statement is mandatory BLOCK; a supplier breaching the human-rights risk threshold is likewise mandatory BLOCK, no WARN path.
FRAMEWORK 13
Außenwirtschaftsgesetz / -verordnung (AWG/AWV)
§55a AWV
Only for a share deal + security-relevant sector + non-EU/EFTA acquirer
Notification duty and BMWK clearance mandatory, otherwise BLOCK at T=0. Sets the cross-gate flag fdi_screening_required on CRITIS relevance and refers to gateForeignDirectInvestment.
FRAMEWORK 14
Mindestlohngesetz (MiLoG) / Arbeitnehmer-Entsendegesetz (AEntG)
§§20, 17 MiLoG, §21 AEntG
Every employment relationship in Germany
Missing proof of minimum wage is mandatory BLOCK; working-time records and social-fund contributions otherwise WARN.
FRAMEWORK 15
Transparenzregistergesetz (TraFinG)
§§20, 23 GwG, TraFinG
German corporate entities
Missing or outdated register entry is mandatory BLOCK; late notification of UBO changes otherwise WARN. Penalty framework up to €150,000.
★ FRAMEWORK 16
Geschäftsleiterhaftung — BJR-Ergänzung
§93(1) sentence 2 AktG, analogous §43 GmbHG
Personal officer level, kept separate from framework 11
A missing decision protocol results in WARN, not mandatory BLOCK, since the Business Judgment Rule remains a matter of discretion. The result flag bjr_documented is kept separate from sle_eligible.
