News
On 6 December 2021, BaFin imposed an administrative fine amounting to 156,000 euros on Dr. Hönle AG. The sanction related to a breach of the first subparagraph of Article 17 (1) of the Market Abuse Regulation (MAR). Dr. Hönle AG failed to publish inside information. The company may lodge an appeal against the administrative fine […]
On 1 December 2021, BaFin imposed an administrative fine amounting to 135,000 euros on DATA MODUL Aktiengesellschaft Produktion und Vertrieb von elektronischen Systemen. The sanction related to a breach of the first subparagraph of Article 17 (1) of the Market Abuse Regulation (MAR). DATA MODUL Aktiengesellschaft Produktion und Vertrieb von elektronischen Systemen failed to publish […]
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 […]