Defendant Name: VTB Capital Plc

Defendant Type: Other

Document Reference: 33-11000

Document Details

Legal Case Name In the Matter of VTB Capital plc
Document Name 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
Document Date 19-Oct-2021
Document Format Administrative Proceeding
File Number 3-20628
Allegation Type Securities Offering
Document Summary 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."

Disgorgement & Penalty Information

Cease and Desist Order
Monetary Penalties:


Individual:     $2,000,000.00 Shared:    

Civil Penalty

Individual:     $4,000,000.00 Shared:    

Pre-Judgment Interest

Individual:     $429,883.94 Shared:    

Related Actions:

In the Matter of Credit Suisse Group AG