Tag: bafin
On 23 August 2022, BaFin imposed an administrative fine amounting to 75,000 euros on paragon GmbH & Co. KGaA. The sanction related to a breach of section 114 (1) sentence 2 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). paragon GmbH & Co. KGaA failed to publish an announcement, stating the date and the […]
On 16 August 2022, BaFin imposed four administrative fines totaling 155,250 euros on Aladdin Healthcare Technologies SE. The sanction related to breaches of section 114 paragraph 1 sentence 2 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) and breaches of section 115 paragraph 1 sentence 1 of the German Securities Trading Act (Wertpapierhandelsgesetz – […]
On 14 July 2022, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on Centrotec SE. The disciplinary fine order related to a breach of section 325 of the German Commercial Code (Handelsgesetzbuch – HGB). Centrotec SE failed to submit its consolidated accounting documents in full […]
On 14 July 2022, the Federal Office of Justice (Bundesamt für Justiz – BfJ) imposed a disciplinary fine amounting to 50,000 euros on Centrotec SE. The disciplinary fine order related to a breach of section 325 of the German Commercial Code (Handelsgesetzbuch – HGB). Centrotec SE failed to submit its accounting documents in full for […]
On 2 August 2022, BaFin imposed an administrative fine amounting to 5,100,000 euros on Bank of America Corporation. The sanction related to a breach of section 130 (1) of the German Act on Breaches of Administrative Regulations (Ordnungswidrigkeitengesetz – OWiG) in conjunction with sections 33 (1) sentence 1, 38 (1) sentence 1 and 39 (1) […]
Announcement under section 109 (2) sentence 1 of the WpHG Within the scope of its examination, the Federal Financial Supervisory Authority (BaFin) has determined that the approved consolidated financial statements of ADLER Real Estate Aktiengesellschaft, Berlin, as at 31 December 2019, contain errors. In the consolidated balance sheet as at 31 December 2019, the real […]
On 3 August 2022, BaFin prohibited Green Wave Materials Corp. with registered office in Edmonton, Alberta, Canada from offering shares of the company to the public. BaFin imposed the prohibition because the company had infringed Article 3(1) of the EU Prospectus Regulation. For this reason, Green Wave Materials Corp. may not offer the securities to […]
On 21th July 2022, BaFin prohibited Integral Investment, which states that its registered office is in Euston Tower 286 Euston Road, NW1 3 DP London, United Kingdom, from offering the shares of GreenRock Eco Ventures Corp. to the public. BaFin imposed the prohibition because the company had infringed Article 3(1) of the EU Prospectus Regulation. […]
On 14 July 2022, BaFin imposed an administrative fine amounting to 2,500euros on a natural person due to a breach of Article 15 in conjunction with Article 12 (1) (a) (i) of the Market Abuse Regulation (MAR). An appeal may be lodged against the administrative fine order. Update (02.08.2022): An appeal was lodged against the […]
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