BaFin

Topic Measures Morgan Stanley & Co. International plc: BaFin imposes administrative fines

Date: 05.12.2018

On 3 December 2018, BaFin imposed administrative fines amounting to 2.4 million euros against Morgan Stanley & Co. International plc.

The administrative fine order related to breaches by Morgan Stanley & Co. International plc of sections 33 and 34 of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG). Morgan Stanley & Co. International plc failed to submit notifications regarding voting rights within the prescribed period.

Morgan Stanley & Co. International plc can lodge an appeal against the administrative fine order.

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