Aggregated News From Investment Management Regulators

Germany

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on United Labels Aktiengesellschaft

The disciplinary fine order related to a breach of section 325 of the German Commercial Code (Handelsgesetzbuch – HGB) by United Labels Aktiengesellschaft.

ZhongDe Waste Technology AG: BaFin imposes administrative fines

On 20 July 2021, BaFin imposed administrative fines totalling 195,000 euros on ZhongDe Waste Technology AG.

safeincome.fund: BaFin launches investigation into the company SICFund

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin informs the public that the company SICFund, Wiesbaden, Federal Republic of Germany, has not been granted

BAM Bundesweites Anlagenmanagement UG (haftungsbeschränkt), Hamburg/Berlin: information from BaFin with regard to the winding up of unauthorised deposit business

After reviewing the situation, BaFin has made the following arrangements to ensure that the purported “blocked accounts” (Sperrkonten) are wound up in an orderly manner. I.

The promises neo-brokers make – and the ones they keep

It all seems so simple: customers need only make a few clicks on neo-brokers’ online platforms or trading apps to buy or sell securities.

FATF Report – Stockdate on Data Pooling

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FATF Report – Opportunities and Challenges of new Technologies

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FATF- Suggested Actions to support the use of new Technologies for AML and CFT

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Deutsche Cannabis AG: BaFin imposes administrative fine

On 9 July 2021, BaFin imposed an administrative fine amounting to 20,000 euros on Deutsche Cannabis AG.

baronsvc.com trading platform: BaFin prohibits unauthorised portfolio management

In its notice dated 23 June 2021, BaFin ordered Atlantis Technology Group Ltd., Marshall Islands, Kolusha OU, Estonia, and FMR International OU, Estonia and the UK, as the operator of the baronsvc.

Bank board members with special qualifications

Not everyone can be put in charge of a bank, and for good reason: banks and savings banks have an important role to play in an economy, and they work with money that has been entrusted to them.

JPMorgan Chase Bank N.A.: BaFin imposes administrative fine

On 19 July 2021, BaFin imposed an administrative fine amounting to 1,830,000 euros on JPMorgan Chase Bank N.A.

Regulator Information

Recent Articles

The AMF and the ACPR sign two cooperation agreements with the SEC regarding the regime applicable to Security Based Swap Dealers (SBSD) in the...

On 23 July 2021, the French financial markets authority (AMF) and the French prudential control and resolution authority (ACPR) signed two cooperation agreements with the Securities Exchange Commiss

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AMF is warning retail investors on the importance of consulting the white list of digital asset service providers (DASPs)

The AMF is calling on the extreme vigilance of retail investors when dealing with offers to invest in crypto-assets. The regulatory authority reminds of the existence of a Read more

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