Aggregated News From Investment Management Regulators

DZ BANK Capital Funding Trust III: BaFin threatens to impose coercive fines

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BaFin issued a notice on 5 December 2019 ordering DZ BANK Capital Funding Trust III to comply with the financial reporting requirements under sections 114 et seq. of the Securities Trading Act (WertpapierhandelsgesetzWpHG) and threatening to impose coercive fines in the amount of EUR 690,000.

DZ BANK Capital Funding Trust III contravened the requirements under section 114 (1) of the WpHG with respect to the annual financial report for the financial year 2018.

The notice is final and binding.

Regulator Information

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