Aggregated News From Investment Management Regulators

BaFin DE

CEWE Stiftung & Co. KGaA: BaFin imposes administrative fine

On 1 June 2022, BaFin imposed an administrative fine amounting to 600,000 euros on CEWE Stiftung & Co. KGaA.

Trading platforms hashtrade.pro, equity-broker.co and prgntrade.co: BaFin investigates Xertz Consulting Inc.

The information provided on the websites operated by Xertz Consulting Inc., hashtrade.pro, equity-broker.co and prgntrade.

Trading platform investirex.com: BaFin investigates Castan Holdings LTD

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Castan Holdings LTD, Saint Vincent and the Grenadines, has not been granted

charycryptoassets.com: BaFin investigates Chary Crypto Assets

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Chary Crypto Assets has not been granted authorisation under the KWG to con

europatradecapital.com: BaFin investigates FD Trade LLC

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that FD Trade LLC has not been granted authorisation under the KWG to conduct ba

H&R GmbH & Co. KGaA: BaFin imposes administrative fine

On 14 June 2022, BaFin imposed an administrative fine amounting to 115,000 euros on H&R GmbH & Co. KGaA.

Adler & Bernstein, website operator of adlerundbernstein-ipoelite.com: 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

luxtradegroup.de: BaFin investigates Tristan Invest LLC

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Tristan Invest LLC has not been granted authorisation under the KWG to cond

External bail-in execution now cross-border

The Guidance Notice External Bail-in Execution informs institutions and Financial Market Infrastructures (FMIs) about how and within what time frame they should act and exchange information and which

BaFin examines the quality of securities order execution on German trading venues

The results of BaFin’s study are nuanced: For smaller order volumes, execution on PFOF trading venues was predominantly beneficial.

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on Singulus Technologies AG

On 29 March 2022, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on Singulus Technologies AG.

Regulator Information

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

Recent Articles

Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements)

Financial Industry Regulatory Authority, Inc.

Revision of Recommendation 25 – White Paper for Public Consultation

The Financial Action Task Force (FATF) is conducting a review of Recommendation 25 (R.25) on the transparency and beneficial ownership (BO) of legal arrangements....

ASIC warns super trustees to be transparent in their underperformance communications to members

ASIC today released the findings from its review of superannuation trustees’ communications with their members following the first annual performance test for MySuper products. The...

EBA replies to European  Commission’s call for advice on the Mortgage Credit Directive review

The European Banking Authority (EBA) published today an Opinion and Report in response to the European Commission’s Call for Advice (CfA) on the review of the Mortgage Credit Directive (MCD) .

Get the latest from Regulatory.News in your inbox!

×