Aggregated News From Investment Management Regulators

Germany

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.

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

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

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

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

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.

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.

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

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.

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

Abbreviation: ASIC
Jurisdiction: Australia
Abbreviation: BCSC
Jurisdiction: Canada
Email: [email protected]
Abbreviation: BVI FSC
Jurisdiction: British Virgin Islands
Email: [email protected]
Abbreviation: CSA
Jurisdiction: Canada
Email: [email protected]
Regulator Name: Capital Market Authority
Abbreviation: CMA
Jurisdiction: Saudi Arabia
Email: [email protected]
Abbreviation: CIMA
Jurisdiction: Cayman Islands
Email: [email protected]
Abbreviation: CBI
Jurisdiction: Ireland
Email: [email protected]
Regulator Name: Central Bank of Armenia
Abbreviation: CBA
Jurisdiction: Armenia
Email: [email protected]
Regulator Name: Central Bank of Iceland
Abbreviation: CB IS
Jurisdiction: Iceland
Email: [email protected]
Abbreviation: CBR
Jurisdiction: Russian Federation
Email: [email protected]
Abbreviation: CSRC
Jurisdiction: China
Email: [email protected]
Abbreviation: CNMV ES
Jurisdiction: Spain
Email: [email protected]
Abbreviation: CSSF
Jurisdiction: Luxembourg
Email: [email protected]
Abbreviation: CFTC
Jurisdiction: USA
Email: [email protected]
Abbreviation: CFPB
Jurisdiction: United States
Email: [email protected]
Abbreviation: HANFA
Jurisdiction: Croatia
Email: [email protected]
Abbreviation: CySEC
Jurisdiction: Cyprus
Email: [email protected]
Abbreviation: DFSA
Jurisdiction: Denmark
Email: [email protected] 
Abbreviation: AFM
Jurisdiction: Netherlands
Email: [email protected]
Regulator Name: European Banking Authority
Abbreviation: EBA
Jurisdiction: Supranational
Abbreviation: EIOPA
Jurisdiction: Supranational
Email: [email protected]
Abbreviation: ESMA
Jurisdiction: ESMA
Email: [email protected]
Abbreviation: FDIC
Jurisdiction: United States
Email: [email protected]
Abbreviation: BaFin
Jurisdiction: Germany
Email: [email protected]
Regulator Name: Federal Reserve System
Abbreviation: FRB US
Jurisdiction: United States
Abbreviation: FRA
Jurisdiction: Egypt
Email: [email protected]
Regulator Name: Financial Action Task Force
Abbreviation: FATF
Email: [email protected]
Abbreviation: FCNB
Jurisdiction: Canada
Email: [email protected]
Regulator Name: Financial Conduct Authority
Abbreviation: FCA
Jurisdiction: United Kingdom
Email: [email protected]
Abbreviation: FinCEN
Jurisdiction: United States
Email: [email protected]
Abbreviation: FINRA
Jurisdiction: United States
Email: [email protected]
Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria
Email: [email protected]
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France
Email: [email protected]
Regulator Name: Financial Markets Authority
Abbreviation: FMA
Jurisdiction: New Zealand
Email: [email protected]
Abbreviation: FSMA
Jurisdiction: Belgium
Abbreviation: SFC
Jurisdiction: Colombia
Email: [email protected]
Abbreviation: FIN-FSA
Jurisdiction: Finland
Email: [email protected]
Abbreviation: FME IS
Jurisdiction: Iceland
Email: [email protected]
Abbreviation: FSA
Jurisdiction: Norway
Email: [email protected]
Abbreviation: GFSC
Jurisdiction: Guernsey
Email: [email protected]
Abbreviation: IOSCO
Email: [email protected]
Abbreviation: IIROC
Jurisdiction: Canada
Email: [email protected]
Abbreviation: IOMFSA
Jurisdiction: Isle of Man
Email: [email protected]
Regulator Name: Israel Securities Authority
Abbreviation: ISA
Jurisdiction: Israel
Email: [email protected]
Abbreviation: JFSC
Jurisdiction: Jersey
Email: [email protected]
Abbreviation: MFSA
Jurisdiction: Malta
Email: [email protected]
Abbreviation: MSC
Jurisdiction: Canada
Email: [email protected]
Abbreviation: MAS
Jurisdiction: Singapore
Email: [email protected]
Abbreviation: CNBV
Jurisdiction: Mexico
Email: [email protected]
Abbreviation: CONSOB
Jurisdiction: Italy
Email: [email protected]
Abbreviation: NFA
Jurisdiction: United States
Email: [email protected]
Abbreviation: CNV
Jurisdiction: Argentina
Email: [email protected]
Abbreviation: OFAC
Jurisdiction: United States
Email: [email protected]
Abbreviation: OCC
Jurisdiction: United States
Email: [email protected]
Abbreviation: OSC
Jurisdiction: Canada
Email: [email protected]
Abbreviation: CMVM
Jurisdiction: Portugal
Email: [email protected]
Abbreviation: SEBI
Jurisdiction: India
Email: [email protected]
Abbreviation: FSA
Jurisdiction: Japan
Email: [email protected]
Abbreviation: SEC
Jurisdiction: United States
Email: [email protected]
Abbreviation: SEC NG
Jurisdiction: Nigeria
Email: [email protected]
Abbreviation: SEC TH
Jurisdiction: Thailand
Email: [email protected]
Abbreviation: CVM
Jurisdiction: Brazil
Email: [email protected]
Abbreviation: SFC
Jurisdiction: Hong Kong
Email: [email protected]
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Email: [email protected]
Abbreviation: FI
Jurisdiction: Sweden
Email: [email protected]
Abbreviation: FINMA
Jurisdiction: Switzerland
Email: [email protected]
Abbreviation: UST
Jurisdiction: United States
Email: [email protected]

Recent Articles

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...

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