Aggregated News From Investment Management Regulators

BaFin DE

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on United Power Technology AG

On 16 April 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on United Power Technology AG.

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on ZhongDe Waste Technology AG

On 16 April 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on ZhongDe Waste Technology AG.

Baumont Group LTD/24news.trade trading platform: BaFin prohibits unauthorised portfolio management

In a notice dated 25 May 2021, BaFin ordered Baumont Group LTD, Saint Vincent and the Grenadines, as the operator of the 24news.

Insurance supervision in difficult times

It seems that Dr Frank Grund has one thing less to worry about.

Anti-money laundering: Board meeting of the public private partnership AFCA

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Big data and artificial intelligence: New paper published by BaFin to outline principles

Sparking debate at the European level With the findings of the study and the outcome of the subsequent consultation (

Publication of financial reports: Federal Office of Justice imposes disciplinary fine on Elanix Biotechnologies AG

On 5 May 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a further disciplinary fine amounting to 750,000 euros on Elanix Biotechnologies AG.

Circular 04/2018 (VA) – Financial Conglomerate Solvency

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Windeln.de SE (ISIN DE000WNDL201): BaFin advises caution regarding solicitation to buy shares

BaFin advises all investors to check the information given in social media very carefully with the help of other sources.

Management board members liable for poor compliance

“Urgent, but not important”: this is how the Eisenhower principle describes the tasks that decision-makers should delegate to employees.

europetrading.org: BaFin is investigating EuropeTrading or TOROFLEX LTD

Die BaFin stellt gemäß § 37 Absatz 4 Kreditwesengesetz (KWG) klar, dass die TOROFLEX LTD keine Erlaubnis zum Betreiben von Bankgeschäften oder Erbringen von Finanzdienstleistungen besitzt.

Invesco Ltd.: BaFin imposes administrative fine

The sanction related to a breach of section 130 (1) of the German Act on Breaches of Administrative Regulations (Ordnungswidrigkeitengesetz – OWiG) in conjunction with section 33 (1) sentence 1 of th

Regulator Information

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

Recent Articles

Directive for the beneficial ownership register of express trusts and similar legal arrangements

See the Press Release published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

RichmondSuper

Attention! The FMA warns investors against concluding transactions with: RichmondSuper https://www.richmondsuper.com (Link to external page. Opens in new window.) [email protected] [email protected] su[email protected] [email protected] [email protected] (Link to external page. Opens in new window.) This provider...

Hardson Becker Global

Attention! The FMA warns investors against concluding transactions with: Hardson Becker Global with its registered address apparently in Hangzhou, China www.hardson.com This provider is not authorised to carry...

“Let’s talk about money” – money laundering: how illegal assets are given a legal appearance

In the latest edition of its consumer information series, “Let’s talk about money” the Austrian Financial Market Authority (FMA) explains about the term money...

Chair Powell will host town hall with educators August 2, 2021 at 4 p.m. EDT

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