Category: Regulations
regulations
Notice Comments Summary To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2022 or the first quarter of 2023.1 FINRA reminds members that all such filings […]
Summary FINRA is soliciting comment on a proposal to amend FINRA Uniform Practice Code Rule 11880 (Settlement of Syndicate Accounts). The proposed amendments would reduce the maximum time for the final settlement of syndicate accounts in a public offering of corporate debt securities from 90 days to 30 days following the syndicate settlement date. Questions […]
On 20 December 2021, BaFin imposed administrative fines totalling 46,600 euros on ECHOS Holding AG. The sanction related to breaches of section 114 (1) sentence 2 and section 115 (1) sentence 1 and sentence 2 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). ECHOS Holding AG failed to publish announcements, stating the date and […]
On 24 November 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 750,000 euros on SLEEPZ AG. The disciplinary fine order related to a breach of section 325 of the German Commercial Code (Handelsgesetzbuch – HGB). SLEEPZ AG failed to submit its consolidated accounting documents for the […]
On 24 November 2021, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 250,000 euros on SLEEPZ AG. The disciplinary fine order related to a breach of section 325 of the German Commercial Code (Handelsgesetzbuch – HGB). SLEEPZ AG failed to submit its accounting documents for the financial […]
ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Rosier, ISIN BE0003575835, on Euronext Brussels is suspended from 18/01/2022 at 11:49 CET until the publication of a press release. Source: FSMA
ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Cofinimmo, ISIN BE0003593044 on Euronext Brussels will re-open on 04/03/2021 at 09:00 CET. Source: FSMA
ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Cofinimmo, ISIN BE0003593044, on Euronext Brussels is suspended on the request of the company from 03/03/2021 at 14:19 CET until the publication of a press release. […]
ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Melexis, ISIN BE0165385973, on Euronext Brussels is reopened from 03/03/2021 at 09:00 CET following the publication of a press release. Source: FSMA
ANNOUNCEMENT BY THE FINANCIAL SERVICES AND MARKETS AUTHORITY, PUBLISHED IN APPLICATION OF ARTICLE 78 OF THE LAW OF 21 NOVEMBER 2017 Trading in the financial instruments of Melexis, ISIN BE0165385973, on Euronext Brussels is suspended on the request of the company from 02/03/2021 at 13:30 CET until the publication of a press release. Source: […]