Aggregated News From Investment Management Regulators

Germany

Guidelines On policies and procedures in relation to compliance management

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Elanix Biotechnologies AG: BaFin imposes administrative fines

The sanction related to breaches of section 114 (1) sentence 2 and section 115 (1) sentence 1 and sentence 2 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and a breach of sect

Product governance: a lack of precision

Under the rules of product governance (see info box), financial products must be responsibly manufactured and distributed.

Stak FX Ltd, target of suspected identity fraud: BaFin issues warning against trading platform stakefx.com

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that StakeFX Markets Ltd, Seychelles, does not have authorisation under the KWG

alpineprofit.com: BaFin investigates Alpine-Profit

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) would lik

Suspected identity theft targeting Investor AB, Stockholm: BaFin investigates purported sale of shares in “Porsche AG”

BaFin has become aware that a company operating under the name of Investor AB, Stockholm, is offering German investors the opportunity to purchase shares in Dr. Ing. h.c. F.

Guidance Notice 03/2022 (VA)

This Guidance Notice addresses the quantitative requirements under the supervisory regime Solvency II (Directive 2009/138/EC) and is therefore intended for German life insurance undertakings as well

Landesbank Baden-Württemberg: BaFin imposes administrative fine

On 10 November 2022, BaFin imposed an administrative fine amounting to 498,000 euros on Landesbank Baden-Württemberg.

Swiss Group Finance Corporation: 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

gk-fx.co: BaFin investigates GKFX LLC

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) would lik

mixfinancing.com: BaFin investigates Mixfinancing

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) would lik

btceu.pro: BaFin investigates BTC EU

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) would lik

Regulator Information

Recent Articles

FCA publishes Decision Notices against three bond traders for market manipulation

The FCA has published Decision Notices given to Diego Urra, Jorge Lopez Gonzalez and Poojan Sheth, three bond traders, for market abuse. The FCA has...

Guidelines On policies and procedures in relation to compliance management

You have the option below to allow a unique web analytics cookie to be stored on your browser, enabling the operator of the website to collect and analyse various types of statistical data.

Release Order – IFL Promoters Ltd., Anjana Gupta and Kishan Gupta in the matter of IFL Promoters Ltd. : Certificate No. 5003 of 2022.

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

RC No. 4606- General Remttance Order in RC No.4606 of 2022 against Prime Solvent Extractions Limited (PAN:AAACP6003F) in the matter of failure to obtain...

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

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