Aggregated News From Investment Management Regulators

BaFin imposes administrative fine

GermanyBaFin DE

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On 3 December 2021 BaFin imposed an administrative fine amounting to 34.000 euros on a natural person due to a breach of section 114 (1) sentence 2 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG).

An appeal was lodged against the administrative fine order.

This news item was originally published by the Federal Financial Supervisory Authority (BaFin DE). For more information, see the Source Link.

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Regulator Information

Regulator Name: Federal Financial Supervisory Authority
Abbreviation: BaFin
Jurisdiction: Germany
Website: http://www.bafin.de/EN/Homepage/homepage_node.html/
Email: [email protected]
More Information

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