German watchdog fines Vivid Money
The German Federal Financial Supervisory Authority (BaFin) has imposed fines totaling €26,000 on Vivid Money S.A.
Bafin
German regulator orders Cadence Growth Capital to submit documents regarding its relations with placement agents
Germany’s Federal Financial Supervisory Authority (Bafin) has ordered Cadence Growth Capital GmbH to submit its contracts with placement agents.
German watchdog fines Wise Europe for reporting failures and violations of disclosure obligations
The German Federal Financial Supervisory Authority (BaFin) has imposed fines totaling €16,000 on Wise Europe SA.
Bafin fines Brown Capital Management for failures to comply with German Securities Trading Act
The Federal Financial Supervisory Authority (Bafin) today announced the imposition of administrative fines totaling €187,500 on Brown Capital Management LLC.
Germany’s Federal Financial Supervisory Authority imposes €240k fine on TeamViewer
The Federal Financial Supervisory Authority (Bafin) has imposed an administrative fine of €240,000 on TeamViewer SE.
Germany introduces new rules for turbo certificates offering to retail investors
The German Federal Financial Supervisory Authority (BaFin) is increasing transparency for retail investors when trading highly speculative leveraged products.
Germany’s BaFin fines Resolution Capital Limited for breach of supervisory duties
The Federal Financial Supervisory Authority (Bafin) today announced that it has imposed an administrative fine of €80,000 on Resolution Capital Limited.
BaFin orders Instinet Germany to rectify deficiencies in its AML and terrorist financing prevention
The German Federal Financial Supervisory Authority (BaFin) has ordered Instinet Germany GmbH, headquartered in Frankfurt am Main, to rectify extensive deficiencies.
German watchdog imposes €1.65M fine on Barclays
Germany’s Federal Financial Supervisory Authority (BaFin) announced today that it has imposed an administrative fine of €1,650,000 on Barclays PLC.
German watchdog fines DLT Securities for AML rule violations
The German Federal Financial Supervisory Authority (BaFin) has imposed three fines totaling €140,000 on DLT Securities GmbH.
