Aggregated News From Investment Management Regulators

ROY Asset Holding SE: BaFin imposes administrative fine

GermanyBaFin DE

Report/Flag

Please complete the required fields.



On 28 September 2020, BaFin imposed an administrative fine amounting to 70,000 euros on ROY Asset Holding SE.

The sanction related to a breach of section 26a (1) sentence 1 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) old version. ROY Asset Holding SE failed to publish the total number of voting rights within the prescribed period.

On 16 October 2020, the company lodged an appeal against the administrative fine order.

Source link

Return Home

Regulator Information

Regulator Name: Federal Financial Supervisory Authority
Abbreviation: BaFin
Jurisdiction: Germany
Website: http://www.bafin.de/EN/Homepage/homepage_node.html/
Email: [email protected]
More Information

Recent Articles

Statement of CFTC Division of Enforcement Director Ian McGinley on the Ooki DAO Litigation Victory

CFTC US 0

Read more

Statement Regarding In the Matter of DF Growth REIT II, LLC

SEC US 0
This matter involves a settlement with DF Growth REIT II, LLC (the “Trust”) relating to the Trust’s purported reliance on the Regulation A exemption from registration under the Securities Act of 1933
Read more

Consultation on AML/CFT Obligations upon VASPS and Additional Obligations upon Licensed Trustees and Partners — GFSC

GFSC GG 0
Today a consultation paper has been issued on the proposed additional rules and guidance for virtual asset service providers (“VASPs”) and specified businesses with a connection to, or involvement wi
Read more

Notice of Ministerial Approval of Rules and Consequential Amendments related to SEDAR+

OSC CA 0
Use this form to submit website feedback and suggestions, or to inform us about website issues.
Read more

Volume 46, Issue 23

OSC CA 0
Use this form to submit website feedback and suggestions, or to inform us about website issues.
Read more

Get the latest from Regulatory.News in your inbox!

×

© Copyright 2023- Regulatory.News