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 $6,429,884

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."

Related Actions:

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