Germany
BaFin DE
Unlawful use of BaFin’s logo in connection with the business activities of LiborTC Limited
According to other information also available to BaFin, customers of LiborTC Limited have received alleged e-mails from BaFin. The sender’s e-mail address is [email protected]
BaFin DE
interactive-trading.com: BaFin investigates Innovative Software Solutions LLC
In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin wishes to clarify that Innovative Software Solutions LLC, Saint Vincent and the Grenadines, has not been
BaFin DE
Fin Toward Ltd./online trading platform fin-toward.com: BaFin prohibits unauthorised deposit business and unauthorised provision of investment advice and portfolio management services
The company opens trading accounts for customers on its trading platform fin-toward.com.
BaFin DE
Lollygag Partners LTD/online trading platform finocapital.io: BaFin prohibits unauthorised portfolio management and unauthorised proprietary trading
In a notice dated 25 March 2021, BaFin ordered Lollygag Partners LTD, Dominica, to immediately cease its unauthorised portfolio management activities and unauthorised proprietary trading.
BaFin DE
Future Traders Corporation Ltd.: BaFin prohibits unauthorised safe custody business and unauthorised investment broking and investment advice services
In a notice dated 25 March 2021, BaFin ordered Future Traders Corporation Ltd.
BaFin DE
Position limits on commodity derivatives: ESMA specifies priorities regarding the supervisory actions of national competent authorities
When applying position limits, national competent authorities should, in future, prioritise agricultural commodity derivatives and significant commodity derivatives contracts with a net open interes
BaFin DE
Publication of financial reports: Federal Office of Justice imposes disciplinary fine on Vontobel Financial Products GmbH
On 4 February 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2,500 euros on Vontobel Financial Products GmbH.
BaFin DE
Brevan Howard Ltd/WinnGroups Ltd – online trading platform winngc.com: BaFin prohibits unauthorised portfolio management
The platform winngc.com (formerly winngroups.com and winngroupltd.com) names both Brevan Howard Ltd and WinnGroups Ltd as the operators responsible.
BaFin DE
ItN Nanovation AG: BaFin imposes coercive fines
On 11 March 2021, BaFin imposed coercive fines on ItN Nanovation AG totalling EUR 90,000 to enforce an order concerning compliance with the financial reporting requirements under section 114 et seq.
BaFin DE
Nomura UG (limited liability): BaFin issues cease and desist order to immediately stop and wind up unauthorized money remittance business
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BaFin DE
BaFin imposes administrative fines
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BaFin DE
ADLER Real Estate Aktiengesellschaft: BaFin imposes administrative fine
On 25 March 2021, BaFin imposed an administrative fine amounting to 555,000 euros on ADLER Real Estate Aktiengesellschaft.
Regulator Information
Regulator Name: Federal Financial Supervisory Authority
Abbreviation: BaFin
Jurisdiction: Germany
Email: [email protected]
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