Aggregated News From Investment Management Regulators

Germany

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on zooplus SE

On 17 April 2023, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on zooplus SE. The disciplinary fine order related to a breach of section 325 of the German Commercial Code (Handelsgesetzbuch – HGB). zooplus SE failed to submit its accounting documents in full for the financial year 2021 for the...

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on zooplus SE

On 17 April 2023, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on zooplus SE. The disciplinary fine order related to a breach of section 325 of the German Commercial Code (Handelsgesetzbuch – HGB). zooplus SE failed to submit its consolidated accounting documents in full for the financial year 2021 for...

crypto106.com: BaFin investigates operator of multiple websites

The Financial Supervisory Authority (BaFin) warns consumers about the websites www.crypto106.com, www.crypto128.com, www.crypto178.com and www.crypto198.com. BaFin has information that the operator, which is also conducting its activities in some cases under the names CRYPYO198 and CRYPYO, is offering financial and investment services without the required authorisation. Another website that...

commerzwelt.com: BaFin investigates the company FCU Investments LTD

Financial and investment services may only be offered in Germany if the company providing these services has the necessary authorisation from BaFin to do this.

mblmarkets10.com: BaFin investigates Mbl Markets

Financial and investment services may only be offered in Germany if the company providing these services has the necessary authorisation from BaFin to do this.

Shares in Ecological Technologies Ltd.: grounds to suspect shares being publicly offered without the required prospectus

Background information: As a rule, securities may be offered to the public in Germany only if a prospectus has been published. This prospectus must be approved by BaFin prior to publication.

gfemarket.com: BaFin investigates the company GFE Management Ltd.

Financial and investment services may only be offered in Germany if the company providing these services has the necessary authorisation from BaFin to do this.

Reinsurance in life insurance: in the interests of the policyholders?

Life insurers have been using reinsurance contracts that include financing components for many years. In this way, the expected income is paid out early and losses can be avoided.

Registered asset management companies: They, too, must implement AML prevention measures

Transparency about all business relationships and financial transactions: the German Money Laundering Act (Geldwäschegesetz – GwG) requires many players in the financial sector to ensure this.

blackfort.exchange: BaFin investigates Blackfort Tech Estonia OÜ

The Federal Financial Supervisory Authority (BaFin) warns consumers about the company Blackfort Tech Estonia OÜ and the services it is offering.

SCHNIGGE Capital Markets SE: AG: BaFin imposes administrative fines

SCHNIGGE Capital Markets SE failed to publish its half-yearly financial reports for the financial years 2018 and 2021.

investofund-group.com: BaFin investigates InvestOFund

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) warns consumers about the company InvestOFund and the services it is offering.

Regulator Information

Recent Articles

Aktualisierte Sanktionsmeldung

Das Staatssekretariat für Wirtschaft (SECO) hat eine Änderung der Verordnung vom 2. Oktober 2000 über Massnahmen gegenüber Personen und Organisationen mit Verbindungen zu Usama...

STOCKSBIT FXTRADES

This firm may be providing financial services or products without our authorisation. You should avoid dealing with this firm and beware of potential scams. Almost...

Remittance Advice against : Pawan Kumari Agarwal [Defaulter] PAN: ABOPA5019J in the matter of Sulabh Engineers & Services Limited., under Recovery Certificate No. 6619...

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the Remittance Advice here: Source link "

Completion of Recovery Certificate No. 6684 of 2023 dated June 15, 2023 issued against Shreya Stocks & Shares Pvt. Ltd. (Now known as Omesh...

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the details here: Source link "

Release Order – Shreya Stocks & Shares Pvt. Ltd. (Now known as Omesh Skill & Business Development Private Limited) [Defaulter] PAN: AAHCS4970M in the...

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the Order here: Source link "

Get the latest from Regulatory.News in your inbox!

×