Aggregated News From Investment Management Regulators

BaFin DE

europemarket.io trading platform: BaFin investigates Archax LTD

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Archax LTD, Sweden, does not have authorisation under the KWG to conduct ba

Deutsche Postbank Funding Trust I: BaFin imposes administrative fines

21 September 2022, BaFin imposed administrative fines totaling 37,400 euros on Deutsche Postbank Funding Trust I.

Steinberg & Cooper Consulting Ltd/Steinberg & Cooper Private Limited Company: BaFin investigates offer to buy purported shares in “Porsche AG”

Steinberg & Cooper Consulting Ltd, London – also operating under the name Steinberg & Cooper Private Limited Company – makes unsolicited contact with German investors and offers purported shares in

BaFin investigates Trading Global (Hoxton), LTD

Trading Global (Hoxton), LTD establishes unsolicited contact with German customers and offers them the prospect of recuperating money lost from earlier online investments. On its website, hoxglobal.

Unity Investment Group: BaFin prohibits the operator of the unity-invest.com website from offering Photon Energy N.V.’s “6.50 % Green EUR Bond 2021/2027” bond to...

On 7 September 2022, BaFin prohibited Unity Investment Group, which claims to be based in Staverdenstraat 14, 2573 DD’s-Gravenhage, the Netherlands, from offering Photon Energy N.V.’s “6.

MFS MERIDIAN FUNDS: BaFin imposes administrative fines

On 6 September 2022, BaFin imposed administrative fines totalling 200,000 euros on MFS MERIDIAN FUNDS.

Trading platform gtsfinancial.net: BaFin investigates GTS Financial LLC

GTS Financial LLC contacts German investors and recommends specific shares. The company also operates a trading platform with the following domain: gtsfinancial.net.

Wonderkiri OÜ: 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

Delta Finanz: BaFin prohibits Delta Finanz from offering the shares of Duracell Inc. to the public.

On 07.09.2022, BaFin prohibited Delta Finanz, which states that its registered office is in the Netherlands and Germany, from offering shares of Duracell Inc. to the public.

SV Financial Service Inc.: Unauthorised offer to subscribe for YouTube shares prior to their public offer

SV Financial Service Inc. is contacting consumers by telephone on an unsolicited basis and offering them what they claim to be preferential YouTube shares prior to their offer to the public.

stoxdc.com: BaFin investigates Heimdall Developments Ltd

In accordance with section 37 (4) of the German Banking Act (Kreditwesengesetz – KWG), BaFin would like to make clear that Heimdall Developments Ltd does not have authorisation under the KWG to cond

paragon GmbH & Co. KGaA: BaFin imposes administrative fine

On 23 August 2022, BaFin imposed an administrative fine amounting to 75,000 euros on paragon GmbH & Co. KGaA.

Regulator Information

Recent Articles

Management Companies and Self-Managed Funds Quarterly Statistics

See a PDF of the Circular published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

Surrender of Authorisation by Charles Cassano

This notice is to make the general public aware that Mr Charles Cassano requested the Malta Financial Services Authority (“MFSA”) to accept the surrender of the authorisation which was issued to the

EIOPA calls for better value money in bancassurance warning to banks and insurers

The European Insurance and Occupational Pensions Authority (EIOPA) has today issued a warning to insurers and banks to address consumer protection issues related to sale of credit protection insuranc

Communiqué No. 73, CNBV completed the process for the TSJEP to join the SIARA

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content...

The Chairman of the Financial Supervisory Authority gives the keynote speech at the Fourth Insurance and Reinsurance Forum in Sharm El Sheikh

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content...

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