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Results: 1-10 of 16

Germany bans naked short selling

  • Norton Rose 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

Concession on protectionism?

  • Norton Rose LLP
  • -
  • France, Germany, USA
  • -
  • May 11 2010

On 28 April 2010, Wolfgang Schauble and Christine Lagarde, the finance ministers of Germany and France respectively, published an article in the Wall Street Journal as an indirect response to letters received from US Treasury Secretary Timothy Geithner

Draft BaFin circular on prevention of fraudulent acts

  • Norton Rose 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

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

  • Norton Rose 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

Ban on uncovered short sales expires

  • Norton Rose 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

BaFin accepts BVI rules of good conduct

  • Norton Rose 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 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

Intensified documentation requirements for investment advice

  • Norton Rose LLP
  • -
  • Germany
  • -
  • November 9 2009

Following the market crisis and the general calls for improvements of investor’s rights, the German Bonds Act (Schuldverschreibungsgesetz) came into force on 5 August 2009

Hedge fund founder arrested in fraud probe

  • Norton Rose LLP
  • -
  • Germany
  • -
  • October 31 2009

German authorities have placed Helmut Kiener, founder of Germany’s K1 hedge fund group, under arrest in a corruption probe of a Caribbean-registered fund he ran

Essentials of listings on the Frankfurt Stock Exchange

  • Norton Rose LLP
  • -
  • Germany
  • -
  • August 11 2009

The Frankfurt Stock Exchange (FSE) has established itself as one of the most attractive listing venues for companies in Europe

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