Defendant Name: VTB Capital Plc

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of VTB Capital plc
First Document Date 19-Oct-2021
Initial Filing Format Administrative Action
File Number 3-20628
Allegation Type Securities Offering

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)

Resolutions

First Resolution Date 19-Oct-2021
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-11000 19-Oct-2021 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order
On October 19, 2021, the SEC instituted settled cease-and-desist proceedings against VTB Capital plc stating: "This matter concerns material omissions and misleading statements in a 2016 bond offering for which VTB Capital Plc (“VTB”), a London-based investment bank, acted with Credit Suisse Group AG (“Credit Suisse”) as joint-lead manager."
34-102317_3-20628 31-Jan-2025 Administrative Proceeding
Order Creating Fair Fund and Setting Deadline to Submit Proposed Plan of Distribution
The Commission order that: "A) the Credit Suisse Fair Fund is created pursuant to Section 308(a) of the Sarbanes- Oxley Act of 2002 for the disgorgement, prejudgment interest, and civil money penalties collected from Credit Suisse and VTB Capital for distribution to harmed investors; B) the $2,429,883.94 collected from VTB Capital, consisting of disgorgement and prejudgment interest, and any interest that has accrued thereon, will be recalled from the U.S. Department of the Treasury and added to the Credit Suisse Fair Fund for distribution to harmed investors; and C) the due date by which the Division will submit a Proposed Plan for the Credit Suisse Fair Fund."

Related Actions:

In the Matter of Credit Suisse Group AG
Credit Suisse Group AG