Aggregated News From Investment Management Regulators

Value Management & Research AG: BaFin imposes administrative fines

Report/Flag

Please complete the required fields.



On 2 July 2020, BaFin imposed administrative fines totalling 200,000 euros on Value Management & Research AG.

The sanction related to breaches by Value Management & Research AG of section 37v (1) sentence 2 and section 37w (1) sentence 4 of the German Securities Trading Act (WertpapierhandelsgesetzWpHG) old version.

Value Management & Research AG failed to submit the 2015 half-yearly financial report to the Company Register (Unternehmensregister) for storage within the prescribed period.

Value Management & Research AG failed to publish an announcement, stating the date and the website on which the accounting documents listed in section 37v (2) of the WpHG old version for the financial year 2015 were made publicly available in addition to their availability in the Company Register within the prescribed period.

Value Management & Research AG failed to publish an announcement, stating the date and the website on which the accounting documents listed in section 37v (2) of the WpHG old version for the financial year 2016 were made publicly available in addition to their availability in the Company Register.

The company may lodge an appeal against the administrative fine order.

Source link

Regulator Information

Recent Articles

Implications of Russia’s invasion of Ukraine on half-yearly financial reports

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

Movement In Island’s Deposit Base

Published on: 20 May 2022 Deposits (net of local inter-bank placings) with Isle of Man offices of Isle of Man licensed deposit takers Deposits increased by £0.96 billion (2.58%) to £38.

Streamlining the Process of Rights Issue

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

LCG.fit (Clone of FCA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Acadian-Asset.management (clone of FCA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Get the latest from Regulatory.News in your inbox!

×