KNF has imposed a fine on Rockbridge Towarzystwo Funduszy Inwestycyjnych SA (hereafter „Towarzystwo“) in the amount of PLN 600.000 for violating the information prospectus of the fund „Rockbridge Fundusz Inwestycyjny Otwarty Parasolowy“ managed by Towarzystwo.
The investment fund had exceeded the maximum percentage of a sub-fund’s („Rockbridge Subfundusz Lokata Plus“ – currently „Rockbridge Subfundusz Obligacji Krótkoterminowych“) assets that could be the subject of securities-financed transactions, as declared in the information prospectus. This resulted in a significant financial leverage.
Other Features
fund management
leverage
penalties
prospectus
sales documents
securities
Date Published: 2023-12-04
Regulatory Framework: Act on Investment Funds and the Management of Alternative Funds
Regulatory Type: information
Uchwała KNF ws. określenia zasad wyboru firmy inwestycyjnej
ID 26539
Where a company loses its authorization to provide broker services, KNF requests that all ...
Działalność w modelu „family office”
ID 26462
Since 2019, KNF has observed a spike in the number of firms calling themselves „fami ...
Nowa sprawozdawczość funduszy TFI i funduszy inwestycyjnych
ID 26421
Starting 1 January 2024, there will be changes to reporting and disclosure obligations the ...
WSA oddalił skargę Prosper Capital DM SA na decyzję KNF
ID 26419
Following KNF’s imposition of a fine on Prosper Capital Dom Maklerski SA in March 20 ...