Aggregated News From Investment Management Regulators

Germany

Unlawful use of BaFin’s logo in connection with the business activities of LiborTC Limited

According to other information also available to BaFin, customers of LiborTC Limited have received alleged e-mails from BaFin. The sender’s e-mail address is [email protected]

interactive-trading.com: BaFin investigates Innovative Software Solutions LLC

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin wishes to clarify that Innovative Software Solutions LLC, Saint Vincent and the Grenadines, has not been

Lollygag Partners LTD/online trading platform finocapital.io: BaFin prohibits unauthorised portfolio management and unauthorised proprietary trading

In a notice dated 25 March 2021, BaFin ordered Lollygag Partners LTD, Dominica, to immediately cease its unauthorised portfolio management activities and unauthorised proprietary trading.

Future Traders Corporation Ltd.: BaFin prohibits unauthorised safe custody business and unauthorised investment broking and investment advice services

In a notice dated 25 March 2021, BaFin ordered Future Traders Corporation Ltd.

Position limits on commodity derivatives: ESMA specifies priorities regarding the supervisory actions of national competent authorities

When applying position limits, national competent authorities should, in future, prioritise agricultural commodity derivatives and significant commodity derivatives contracts with a net open interes

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on Vontobel Financial Products GmbH

On 4 February 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 2,500 euros on Vontobel Financial Products GmbH.

Brevan Howard Ltd/WinnGroups Ltd – online trading platform winngc.com: BaFin prohibits unauthorised portfolio management

The platform winngc.com (formerly winngroups.com and winngroupltd.com) names both Brevan Howard Ltd and WinnGroups Ltd as the operators responsible.

ItN Nanovation AG: BaFin imposes coercive fines

On 11 March 2021, BaFin imposed coercive fines on ItN Nanovation AG totalling EUR 90,000 to enforce an order concerning compliance with the financial reporting requirements under section 114 et seq.

Nomura UG (limited liability): BaFin issues cease and desist order to immediately stop and wind up unauthorized money remittance business

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BaFin imposes administrative fines

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ADLER Real Estate Aktiengesellschaft: BaFin imposes administrative fine

On 25 March 2021, BaFin imposed an administrative fine amounting to 555,000 euros on ADLER Real Estate Aktiengesellschaft.

Regulator Information

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