Aggregated News From Investment Management Regulators

BaFin reaffirms advice for investors to exercise caution with buy recommendations for shares

Report/Flag

Please complete the required fields.



Currently there could be cases in which investors receive recommendations for shares in companies professing to have the means to stop the spread of the corona (COVID-19) virus. Companies could also claim that they have or are able to market drugs or vaccines against the corona (COVID-19) virus. Persons publishing such recommendations might themselves be holders of some of the financial instruments being recommended. The persons behind the recommendations could profit if the prices of these shares increase in response to the recommendation.

Despite the requirement to disclose any conflicts of interest in the disclaimers, investors should always question the motives for publishing such reports. In addition, it is advisable to not only rely on individual information sources but to also obtain comprehensive information on the financial instruments concerned and their issuers.

Investors are requested to inform BaFin if they receive buy recommendations for shares and suspect that the information contained therein is exaggerated or misleading; investors who become aware of such recommendation should do likewise.

Regulator Information

Recent Articles

SEC Awards $20 Million to Whistleblower

Washington D.C., Nov.

Update on the Lending, Credit and Finance (Bailiwick of Guernsey) Law, 2022 — GFSC

In July 2022, the Lending, Credit and Finance (Bailiwick of Guernsey) Law, 2022 (the “Law”) was approved by the States of Guernsey, the States of Alderney and the Chief Pleas of Sark.

UK and Singapore deepen collaboration in FinTech and strengthen financial cooperation

The United Kingdom (UK) and Singapore held the 7th UK-Singapore Financial Dialogue in Singapore today. Both countries renewed their commitment to deepening the UK-Singapore...

Consultation on ‘six directorship’ exemption for directors — GFSC

The Policy & Resources Committee has today published a Consultation Paper seeking views on a proposed change to the requirements which affect some individuals acting as company directors, by way of b

The AMF is supplementing its policy on liquidity management tools

New disclosure obligations This update provides for new obligations if the regulatory documentation of the CIU does not include a mechanism to cap redemption requests (gates) and/or a mechanism to of

Get the latest from Regulatory.News in your inbox!

×