Aggregated News From Investment Management Regulators

BaFin imposes administrative fines

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On 21 April 2020, BaFin imposed administrative fines amounting to 360,000 euros on a natural person due to breaches of section 21 (1) sentence 1 of the German Securities Trading Act (WertpapierhandelsgesetzWpHG) (old version).

An appeal was lodged against the administrative fine order.

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