12 August 2019: GE BaFin Fines Goldman €800k for Voting Rights.
Archives
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 3 July 2024 – S Korea FSC Fines 2 for Breaches of Short Selling Regulations
- 12 June 2024 – Norway FI Fines for Illegal Short Selling
- 11 June 2024 – U.S. SEC Fines for Misleading Disclosures Related to Short Selling
- 6 June 2024 – Japan FSA Fines for Late Substantial Shareholding Filing
- 6 June 2024 – Greece HCMC Fines for Late Substantial Shareholding Report
- 20 May 2024 – U.S. SEC Fines for Illegal Short Selling
- 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
- 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
- 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
- 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
- 5 April 2024 – Luxembourg CSSF Fines for Failure to Report Sensitive Industries Shareholdings
- 28 March 2024 – Australia ASIC Criminally Charges for Substantial Shareholding Violations
- 28 March 2024 – Sweden FI Fines for Naked Short Selling
- 27 March 2024 – India SEBI Fines for Late Major Shareholding Reporting
- 22 March 2024 – Austria FMA Fines for Major Shareholding Reporting Failure
- 21 March 2024 – India SEBI Fines for Major Shareholding Reporting Failure
- 14 March 2024 – U.S. SEC Fines for Naked Short Selling
- 13 March 2024 – India SEBI Fines for Violation of Takeover Rule
- 12 March 2024 – Austria FMA Fines for Failure to Report Substantial Shareholdings
- 10 March 2024 – Turkey CMB Fines for Failure to Report Substantial Shareholding
- 8 March 2024 – Turkey CMB Fines for Short Selling Violation
- 7 March 2024 – Turkey Fines for Short Selling Violation
- 7 March 2024 – Turkey CMB Fines for Short Selling Failure
- 4 March 2024 – Turkey CMB Fines for Substantial Shareholding Violation
- 3 March 2024 – Turkey CMB Fines for Short Selling Violation
- 1 March 2024 – U.S. SEC Fines for Major Shareholding Reporting Failure
- 21 February 2024 – U.S. SEC Fines for Short Selling Violations
- 27 December 2023 – France AMF Failure to Disclose Major Shareholding
- 24 December 2023 – S Korea FSC Fines for Naked Short Selling
- 21 December 2023 – Norway FSA Fines for Short Selling Violations
- 7 November 2023 – Hong Kong SFC Issues Charges for Illegal Short Selling
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