Latest Market News
On 25 November 2021, BaFin imposed an administrative fine amounting to 130,000 euros on Vectron Systems AG. The sanction related to a breach of the third subparagraph of Article 17 (4) of the Market Abuse Regulation (MAR) in conjunction with Article 4 (3) of Commission Implementing Regulation (EU)2016/1055 and section 7 of the German Securities […]
On 22 November 2021, BaFin imposed an administrative fine amounting to 290,000 euros on The Vanguard Group, Inc. 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 the German Securities Trading Act (Wertpapierhandelsgesetz […]
On 16 November 2021, BaFin imposed an administrative fine amounting to 105,000 euros on Tuff Group AG. The sanction related to a breach of section 115 (1) sentence 1 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). Tuff Group AG failed to make its half-yearly financial report for the financial year 2020 publicly available […]
Sept. 3, 2021 The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help educate investors, including individuals who may receive lump sum payouts from insurance companies and others as a result of damage from Hurricane Ida, about investment scams. Hurricanes, floods, oil spills, and other disasters often give rise to […]
Sept. 1, 2021 The SEC’s Office of Investor Education and Advocacy (OIEA) and Division of Enforcement’s Retail Strategy Task Force (RSTF) remind investors to watch out for investment schemes involving digital assets and “Crypto.” Fraudsters continue to exploit the rising popularity of digital assets to lure retail investors into scams, often leading to devastating losses. […]
The FBI Criminal Investigative Division and the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) warn of fraudsters swindling investors while pretending to be registered brokers or investment advisers. Fraudsters may falsely claim to be registered with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) or […]