Aggregated News From Investment Management Regulators

BaFin DE

Performance to Go PLC: suspected offer to the public of “pre-market cumulative preferred shares” by Performance to Go PLC 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.

“We are competing with gas prices”

Dr Normann Pankratz, Member of the Management Board at Debeka Versicherungen, outlined the impact of rising interest rates and higher inflation from a life insurer’s perspective.

Complex investments

Due to the long period of low interest rates, many insurers have been investing more heavily in illiquid investments over the last few years.

BaFin investigates Halebore Ltd

BaFin, the German Federal Criminal Police Office (Bundeskriminalamt) and the German state criminal police offices (Landeskriminalämter)

Interactive Brokers LLC Group target of identity fraud: BaFin warns consumers and investors about the website

The company Interactiv Global Brokers has been contacting consumers via the website in order to offer them banking business and financial services.

Defraq Ventures AG (previously: VALENS Holding AG): BaFin threatens to impose coercive fines

On 24 February 2023, the Federal Financial Supervisory Authority (BaFin) threatened to impose coercive fines on VALENS Holding AG (today: Defraq Ventures AG) in the amount of 282,500 euros.

BaFin grants authorisation to SVB Germany

SVB Germany has taken over all of the business operations of Silicon Valley Bank Germany Branch. On 13 March 2023, BaFin ordered a moratorium on Silicon Valley Bank Germany Branch.

British company Deeland Investments Ltd. target of identity theft

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) warns that unknown perpetrators are fraudulently using the name of Deeland Investments Ltd.

BaFin orders moratorium on Silicon Valley Bank Germany Branch

The Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) has issued a ban today for Silicon Valley Bank Germany Branch on disposals and payments, as the

There is no way around sustainability

From the European Commission’s perspective, the financial sector has an important role to play when it comes to increasing the economy’s resilience and resource efficiency and reducing CO2 emissions.

The EU Sustainable Finance Disclosure Regulation: opening the door to greater transparency

Greater transparency comes at a cost – at the very latest, this should have become clear when the EU Sustainable Finance Disclosure Regulation (SFDR) entered into force.

Regulator Information

Abbreviation: BaFin
Jurisdiction: Germany
Email: [email protected]

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