Germany
BaFin DE
Guidelines On policies and procedures in relation to compliance management
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BaFin DE
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
BaFin DE
Product governance: a lack of precision
Under the rules of product governance (see info box), financial products must be responsibly manufactured and distributed.
BaFin DE
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
BaFin DE
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
BaFin DE
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.
BaFin DE
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
BaFin DE
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.
BaFin DE
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
BaFin DE
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
BaFin DE
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
BaFin DE
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
Regulator Name: Federal Financial Supervisory Authority
Abbreviation: BaFin
Jurisdiction: Germany
Email: [email protected]
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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.
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