Germany
BaFin DE
L8 Holdings Ltd. and Pro-IPO Investment: BaFin prohibits L8 Holdings Ltd. and Pro-IPO Investment from offering the securities the shares of L8 Holdings Ltd....
On 22nd June 2022, BaFin prohibited L8 Holdings Ltd.
BaFin DE
H&R GmbH & Co. KGaA: BaFin imposes administrative fine
On 14 June 2022, BaFin imposed an administrative fine amounting to 115,000 euros on H&R GmbH & Co. KGaA.
BaFin DE
Trautman Son’s Kapital: suspected violation of the prospectus requirement
Offering securities to the public without an approved prospectus constitutes a violation of the prospectus requirement under Article 3(1) of the EU Prospectus Regulation – unless an exemption applies
BaFin DE
europatradecapital.com: BaFin investigates FD Trade LLC
In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that FD Trade LLC has not been granted authorisation under the KWG to conduct ba
BaFin DE
charycryptoassets.com: BaFin investigates Chary Crypto Assets
In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Chary Crypto Assets has not been granted authorisation under the KWG to con
BaFin DE
Trading platform investirex.com: BaFin investigates Castan Holdings LTD
In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Castan Holdings LTD, Saint Vincent and the Grenadines, has not been granted
BaFin DE
Trading platforms hashtrade.pro, equity-broker.co and prgntrade.co: BaFin investigates Xertz Consulting Inc.
The information provided on the websites operated by Xertz Consulting Inc., hashtrade.pro, equity-broker.co and prgntrade.
BaFin DE
CEWE Stiftung & Co. KGaA: BaFin imposes administrative fine
On 1 June 2022, BaFin imposed an administrative fine amounting to 600,000 euros on CEWE Stiftung & Co. KGaA.
BaFin DE
luxtradegroup.de: BaFin investigates Tristan Invest LLC
In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Tristan Invest LLC has not been granted authorisation under the KWG to cond
BaFin DE
CEWE Stiftung & Co. KGaA: BaFin imposes administrative fine
On 1 June 2022, BaFin imposed an administrative fine amounting to 600,000 euros on CEWE Stiftung & Co. KGaA.
BaFin DE
Trading platforms hashtrade.pro, equity-broker.co and prgntrade.co: BaFin investigates Xertz Consulting Inc.
The information provided on the websites operated by Xertz Consulting Inc., hashtrade.pro, equity-broker.co and prgntrade.
Regulator Information
Regulator Name: Australian Securities and Investments Commission
Abbreviation: ASIC
Jurisdiction: Australia
Website: https://asic.gov.au/
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Jurisdiction: Canada
Website: https://www.bcsc.bc.ca/
Email: [email protected]
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Jurisdiction: British Virgin Islands
Website: https://www.bvifsc.vg/
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Jurisdiction: Canada
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Jurisdiction: Ireland
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Jurisdiction: Armenia
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Jurisdiction: Iceland
Website: https://www.cb.is/
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Abbreviation: CBR
Jurisdiction: Russian Federation
Website: https://www.cbr.ru/eng/
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Abbreviation: CSRC
Jurisdiction: China
Website: http://www.csrc.gov.cn/pub/csrc_en/
Email: [email protected]
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Abbreviation: CNMV ES
Jurisdiction: Spain
Email: [email protected]
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Abbreviation: CSSF
Jurisdiction: Luxembourg
Website: https://www.cssf.lu/en/
Email: [email protected]
Regulator Name: Commodity Futures Trading Commission
Abbreviation: CFTC
Jurisdiction: USA
Website: http://www.cftc.gov/index.htm
Email: [email protected]
Regulator Name: Consumer Financial Protection Bureau
Abbreviation: CFPB
Jurisdiction: United States
Website: https://www.consumerfinance.gov/
Email: [email protected]
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Abbreviation: HANFA
Jurisdiction: Croatia
Website: https://www.hanfa.hr/en/
Email: [email protected]
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Abbreviation: CySEC
Jurisdiction: Cyprus
Website: https://www.cysec.gov.cy/en-GB/home/
Email: [email protected]
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Jurisdiction: Denmark
Website: https://www.dfsa.dk/
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Regulator Name: Dutch Authority for the Financial Markets
Abbreviation: AFM
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Website: http://www.afm.nl/en/
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Regulator Name: European Banking Authority
Abbreviation: EBA
Jurisdiction: Supranational
Website: https://www.eba.europa.eu/
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Abbreviation: EIOPA
Jurisdiction: Supranational
Website: https://www.eiopa.europa.eu/
Email: [email protected]
Regulator Name: European Securities and Markets Association
Abbreviation: ESMA
Jurisdiction: ESMA
Website: https://www.esma.europa.eu/
Email: [email protected]
Regulator Name: Federal Deposit Insurance Corporation
Abbreviation: FDIC
Jurisdiction: United States
Website: https://www.fdic.gov/
Email: [email protected]
Regulator Name: Federal Financial Supervisory Authority
Abbreviation: BaFin
Jurisdiction: Germany
Email: [email protected]
Regulator Name: Federal Reserve System
Abbreviation: FRB US
Jurisdiction: United States
Website: https://www.federalreserve.gov/
Regulator Name: Finance Regulatory Authority
Abbreviation: FRA
Jurisdiction: Egypt
Email: [email protected]
Regulator Name: Financial Action Task Force
Abbreviation: FATF
Website: https://www.fatf-gafi.org/
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Regulator Name: Financial and Consumer Services Commission
Abbreviation: FCNB
Jurisdiction: Canada
Website: https://fcnb.ca/en/
Email: [email protected]
Regulator Name: Financial Conduct Authority
Abbreviation: FCA
Jurisdiction: United Kingdom
Website: http://www.fca.org.uk/
Email: [email protected]
Regulator Name: Financial Crimes Enforcement Network
Abbreviation: FinCEN
Jurisdiction: United States
Website: https://www.fincen.gov/
Email: [email protected]
Regulator Name: Financial Industry Regulatory Authority
Abbreviation: FINRA
Jurisdiction: United States
Website: https://www.finra.org/#/
Email: [email protected]
Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria
Website: https://www.fma.gv.at/en/
Email: [email protected]
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France
Website: https://www.amf-france.org/en/
Email: [email protected]
Regulator Name: Financial Markets Authority
Abbreviation: FMA
Jurisdiction: New Zealand
Website: https://www.fma.govt.nz/
Email: [email protected]
Regulator Name: Financial Services and Markets Authority
Abbreviation: FSMA
Jurisdiction: Belgium
Website: https://www.fsma.be/en/
Regulator Name: Financial Supervision of Colombia
Abbreviation: SFC
Jurisdiction: Colombia
Email: [email protected]
Regulator Name: Financial Supervisory Authority
Abbreviation: FIN-FSA
Jurisdiction: Finland
Website: https://www.finanssivalvonta.fi/en/
Email: [email protected]
Regulator Name: Financial Supervisory Authority
Abbreviation: FME IS
Jurisdiction: Iceland
Website: https://en.fme.is/
Email: [email protected]
Regulator Name: Financial Supervisory Authority of Norway
Abbreviation: FSA
Jurisdiction: Norway
Website: http://www.finanstilsynet.no/en/
Email: [email protected]
Regulator Name: Guernsey Financial Services Commission
Abbreviation: GFSC
Jurisdiction: Guernsey
Email: [email protected]
Regulator Name: International Organization of Securities Commissions
Abbreviation: IOSCO
Website: https://www.iosco.org/
Email: [email protected]
Regulator Name: Investment Industry Regulatory Organization of Canada
Abbreviation: IIROC
Jurisdiction: Canada
Email: [email protected]
Regulator Name: Isle of Man Financial Services Authority
Abbreviation: IOMFSA
Jurisdiction: Isle of Man
Website: https://www.iomfsa.im/
Email: [email protected]
Regulator Name: Israel Securities Authority
Abbreviation: ISA
Jurisdiction: Israel
Email: [email protected]
Regulator Name: Jersey Financial Services Commission
Abbreviation: JFSC
Jurisdiction: Jersey
Website: http://www.jerseyfsc.org/
Email: [email protected]
Regulator Name: Malta Financial Services Authority
Abbreviation: MFSA
Jurisdiction: Malta
Website: http://www.mfsa.com.mt/
Email: [email protected]
Regulator Name: Manitoba Securities Commission
Abbreviation: MSC
Jurisdiction: Canada
Website: https://mbsecurities.ca/
Email: [email protected]
Regulator Name: Monetary Authority of Singapore
Abbreviation: MAS
Jurisdiction: Singapore
Website: http://www.mas.gov.sg/
Email: [email protected]
Regulator Name: National Commission for Banks and Securities
Abbreviation: CNBV
Jurisdiction: Mexico
Email: [email protected]
Regulator Name: National Commission for Companies and the Stock Exchange
Abbreviation: CONSOB
Jurisdiction: Italy
Email: [email protected]
Regulator Name: National Futures Association
Abbreviation: NFA
Jurisdiction: United States
Email: [email protected]
Regulator Name: National Securities Commission
Abbreviation: CNV
Jurisdiction: Argentina
Website: https://www.argentina.gob.ar/cnv/
Email: [email protected]
Regulator Name: Office of Foreign Assets Control
Abbreviation: OFAC
Jurisdiction: United States
Website: https://home.treasury.gov/
Email: [email protected]
Regulator Name: Office of the Comptroller of the Currency
Abbreviation: OCC
Jurisdiction: United States
Website: http://www.occ.gov/
Email: [email protected]
Regulator Name: Ontario Securities Commission
Abbreviation: OSC
Jurisdiction: Canada
Website: https://www.osc.gov.on.ca/
Email: [email protected]
Regulator Name: Portuguese Securities Market Commission
Abbreviation: CMVM
Jurisdiction: Portugal
Email: [email protected]
Regulator Name: Securities and Exchange Board of India
Abbreviation: SEBI
Jurisdiction: India
Website: https://www.sebi.gov.in/
Email: [email protected]
Regulator Name: Securities and Exchange Commission
Abbreviation: FSA
Jurisdiction: Japan
Website: http://www.fsa.go.jp/en/
Email: [email protected]
Regulator Name: Securities and Exchange Commission
Abbreviation: SEC
Jurisdiction: United States
Website: http://www.sec.gov/
Email: [email protected]
Regulator Name: Securities and Exchange Commission
Abbreviation: SEC NG
Jurisdiction: Nigeria
Website: https://sec.gov.ng/
Email: [email protected]
Regulator Name: Securities and Exchange Commission
Abbreviation: SEC TH
Jurisdiction: Thailand
Website: https://www.sec.or.th/EN
Email: [email protected]
Regulator Name: Securities and Exchange Commission of Brazil
Abbreviation: CVM
Jurisdiction: Brazil
Website: https://www.gov.br/cvm/pt-br/
Email: [email protected]
Regulator Name: Securities and Futures Commission
Abbreviation: SFC
Jurisdiction: Hong Kong
Website: http://www.sfc.hk/web/EN/index.html/
Email: [email protected]
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Website: http://www.ssc.gov.vn/
Email: [email protected]
Regulator Name: Swedish Financial Supervisory Authority
Abbreviation: FI
Jurisdiction: Sweden
Website: https://www.fi.se/en/
Email: [email protected]
Regulator Name: Swiss Financial Market Supervisory Authority
Abbreviation: FINMA
Jurisdiction: Switzerland
Email: [email protected]
Regulator Name: US Department of the Treasury
Abbreviation: UST
Jurisdiction: United States
Email: [email protected]
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Dissolution and liquidation of investment compartment Sunshine Invest
The Cyprus Securities and Exchange Commission (‘CySEC’) announces that, the external manager AIFCAP Managers Ltd of TECHGIANT RAIF V.C.I.C. LTD, which is registered as...
Glenford Malone Appointed Deputy Managing Director, Regulation – Effective 01 January 2022
press_release_6_of_2022_-_glenford_malone_appointed_dmd_regulations.pdf
This news item was originally published by the British Virgin Islands Financial Services Commission (BVIFSC VG). For more information, please see the Source Link.
BVI FSC’s New Authorisation and Supervision Division Becomes Fully Operational 01 July 2022
press_release_5_of_2022_-_fully_operational_as.pdf
This news item was originally published by the British Virgin Islands Financial Services Commission (BVIFSC VG). For more information, please see the Source Link.
Reed and Martin Law Office (Clone of FCA Authorised Firm)
Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...
