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The Vanguard Group, Inc.: BaFin imposes administrative fine

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 – WpHG). The Vanguard Group, Inc. failed to submit voting rights notifications within the prescribed period.

The company may lodge an appeal against the administrative fine order.

Update (13.12.2021):

The administrative fine order is final and binding.

Source: BAFIN

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