Germany BaFin Fines Barclays PLC For Failing to Submit Voting Rights Notifications
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 13 January 2025 – US Fines for Failure to Comply with Short Selling Rules
- 19 December 2024 – US Fines For Breach of Short Selling Rule
- 12 December 2024 – Turkey Fines for Breaches of Short Selling Regulations
- 10 December 2024 – S Korea Fines for Illegal Short Selling
- 20 November 2024 – Australia ASIC Fines for Failure to Disclose Major Shareholdings
- 26 November 2024 – U.S. SEC fines for Illegal Short Selling
- 18 November 2024 – Poland Fines for Substantial Shareholding Failures
- 18 November 2024 – India SEBI Fines 7 for Substantial Shareholding Failures
- 15 November 2024 – Hong Kong Fines for Takeover Breaches
- 6 November 2024 – Netherlands AFM Fines for Failure to Report Substantial Shareholdings
- 15 October – S Korea Fines for Illegal Short Selling
- 9 October 2024 – Italy Consob Fines for Breach of Short Selling Regulations
- 4 October 2024 – Italy Consob Fines for Short Selling Failure
- 29 September 2024 – Sweden FI Fines for Late Substantial Shareholding in Bonds
- 28 September 2024 – Turkey Fines for Failure to Recognize Short Selling Ban
- 27 September 2024 – Austria FMA Fines for Late Substantial Shareholding Report
- 27 September 2024 – China Fines for Late Substantial Shareholding Report
- 27 September 2024 – China Fines for Failure to File Substantial Shareholding Report
- Austria – FMA Fines for Failures in Substantial Shareholding Reporting
- China – CSRC Fines for Substantial Shareholding Reporting Failure
- 25 September 2024 – U.S. SEC Fines 23 for Late Major Shareholding and Insider Transaction Reports
- 25 September 2024 – Austria FMA Fines for Late Major Shareholding Reporting
- U.S. – SEC Fines HK Based Trading Firm for Illegal Short Selling
- U.S. – SEC Fines 23 for Major Shareholding Reporting Failures
- Austria – FMA Fines for Late Shareholding Disclosure
- 23 September 2024 – Turkey CMB Fines for Breach of Short Selling Ban
- 23 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
- 20 September 2024 – U.S. SEC Seeks to Fine Musk for Failure to Report Major Shareholding
- 19 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
- 17 September 2024 – U.S. SEC Failure to File Form 13F for Major Shareholding
- 12 September 2024 – Hong Kong SFC Fines for Fraud through Illegal Short Selling