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 Charges Unlicensed Broker With Defrauding Investors

The Securities and Exchange Commission today charged Joshua L. Rupp of Michigan for engaging in securities fraud and for acting as an unregistered broker-dealer.  The SEC’s complaint, filed in the U.

Questions and Answers on the Prospectus Regulation – 10th version – July 2021

See the Details published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

Warning concerning the website www.lunav-invest.com

The Commission de Surveillance du Secteur Financier (CSSF) warns the public of the website www.lunav-invest.com where an entity named “Lunav-Invest” offers investment services, including...

Adjudication Order in respect of Mr. Ranjith Soman and Ms. Veena Ranjith in the matter of M/s. Crown Tours Ltd.

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

FIN-FSA decides not to extend its recommendation on distribution of credit institutions’ profits beyond 30 September 2021

The Financial Supervisory Authority (FIN-FSA) has decided not to extend its recommendation on the distribution of credit institutions’ profits beyond 30 September 2021. The...

Get the latest from Regulatory.News in your inbox!

×