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Results: 1-7 of 7

BaFin accepts BVI rules of good conduct

  • Norton Rose Fulbright LLP
  • -
  • Germany
  • -
  • February 22 2010

The Association of Investment and Asset Management (BVI) has produced standards which provide an interpretation of Section 9 of the Investment Act (InvG) which sets out general rules of conduct applicable to management companies

German Federal Constitutional Court confirms legality of annual contributions to deposit protection schemes

  • Norton Rose Fulbright LLP
  • -
  • Germany
  • -
  • December 21 2009

Pursuant to the German Deposit Guarantee and Investor Compensation Act (Einlagensicherungs- und Anlegerentschädigungsgesetz - EAEG) institutions are divided into private law, public law and other institutions and they have to participate in their respective group’s protection scheme by paying an initial contribution, annual contributions and, as the case may be, additional contributions

BaFin introduces notification obligation of short positions in certain German banks and insurance companies

  • Norton Rose Fulbright LLP
  • -
  • Germany
  • -
  • March 17 2010

By decree dated 21 September 2008, the German Federal Financial Supervisory Authority (BaFin) banned short sales in certain German banks and insurance companies

New financial services firms have to contribute for Phoenix insolvency

  • Norton Rose Fulbright LLP
  • -
  • Germany
  • -
  • April 27 2009

Generally, financial services firms in Germany (Finanzdienstleistungsinstitute) are mandatory members of a protection scheme (Entschädigungseinrichtung der Wertpapierhandelsunternehmen - EdW

Germany bans naked short selling

  • Norton Rose Fulbright LLP
  • -
  • Germany
  • -
  • May 25 2010

Effective as of 19 May 2010 (midnight), the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht - BaFin) issued three decrees to stabilise the markets

Ban on uncovered short sales expires

  • Norton Rose Fulbright LLP
  • -
  • Germany
  • -
  • February 22 2010

The Federal Financial Supervisory Authority (BaFin) General Decrees dated 19 and 21 September 2008 regarding the ban on uncovered short sales in 11 stocks expired on 31 January 2010 without replacement

Draft BaFin circular on prevention of fraudulent acts

  • Norton Rose Fulbright LLP
  • -
  • Germany
  • -
  • May 3 2010

The German Federal Financial Supervisory Authority (BaFin) issued a draft circular applicable to all credit institutions, financial services firms, investment management companies, payment institutions, financial holding companies and mixed financial holding companies in Germany and addresses the prevention of fraudulent acts

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