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BlackRock Investment Management (UK) Limited: BaFin imposes administrative fine

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On 8 April 2020, BaFin imposed an administrative fine amounting to 744,000 euros against BlackRock Investment Management (UK) Limited.

The sanction related to a breach of section 130 (1) of the German Act of Breaches of Administrative Regulations (Ordnungswidrigkeitengesetz – OWiG) in conjunction with sections 33 (1), 38 (1) and 39 (1) of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). BlackRock Investment Management (UK) Limited had failed to submit notifications regarding voting rights within the prescribed period.

The company can lodge an appeal against the administrative fine order.

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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]
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