U.S. SEC Fines for Major Shareholding (SEC 13D) Reporting Failure
Written by Anna Monteiro
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Archives
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 12 May 2020: Sweden FI Fines for Failure to Report Falling Below Short Selling Threshold
- 11 May 2020: Sweden FI Fines for Late Short Selling Reporting
- 23 April 2020: Sweden FI Fines Armistice Capital for Late Substantial Shareholding Disclosure
- 21 April 2020: Sweden FI Fines for Late Short Selling Reporting
- 21 April 2020: Germany BaFin Fines Blackrock for Late Disclosure
- 20 April 2020: Sweden FI Fines for Late Short Selling Reporting
- 20 April 2020: Sweden FI Fines for Late Shares Transactions Reporting
- 20 April 2020: Sweden FI Fines Investors for Late Substantial Shareholding Disclosure
- 17 April 2020: Sweden Fines for Late Short Selling Reporting
- 8 April 2020: BaFin Fines #1 Investment Management Firm for Late Major Shareholding Disclosure
- 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
- 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
- 2 April 2020: Sweden FI Fines for Late Reporting of Subscription Rights
- 2 April 2020: Sweden FI Fines for Late and Incorrect Transactions Notification
- 31 March 2020: HK SFC Fine China Rise Short Selling
- 31 March 2020: Sweden FI Fines Tiger Global for Late Short Selling Report
- 25 March 2020: HK SFC Magic Holdings Late Disclosure
- 13 March 2020: Sweden FI Fines SEB Investment for Late Reporting of Transactions with Shares
- 13 March 2020: Sweden FI Fines SEB Investment for Late Shareholding Disclosure
- 13 March 2020: Sweden FI Fines Brushamn Invest for Late and Incorrect Transactions Reporting
- 11 March 2020: Sweden FI Fines Nordic Health Consultants for Late and Incorrect Transactions Reporting
- 10 March 2020: Sweden FI Fines For Late Transactions Reporting
- 9 March 2020: Sweden FI Fines For Late and Incorrect Notification of Transactions
- 9 March 2020: Sweden FI Fines Nordea for Late Shareholding Disclosure
- 6 March 2020: Sweden FI Fines for Incorrect Notification
- 6 March 2020: Sweden FI Fines for Errors in Transaction Reporting
- 5 March 2020: Sweden FI Fines for Late Shareholding Dislosure
- 4 March 2020: Sweden FI Fines for Errors in Shares Acquistion Notification
- 4 March 2020: Sweden FI Fines for Errors in Holdings Disclosure
- 17 February 2020: Sweden FI Fines Insurance Co for Late Reporting of Bonds
- 13 February 2020: Australia ASIC Fines for Misleading Shareholding Disclosure
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