15 January 2021: Sweden FI Fines Brax Investments 2.4M SEK Late Shareholding Disclosures
Archives
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 20 October 2023 – U.S. SEC Fines for Short Selling Violations
- 27 September 2023 – U.S. SEC Fines Six for Major Shareholding Reporting Failures
- 25 September 2023 – India SEBI Fines for Takeover Reporting Failure
- 22 September 2023 – U.S. SEC Fines for Improper Short Selling
- 15 September 2023 – China CSRC Fines for Major Shareholding Reporting Failures
- 13 September 2023 – U.S. SEC Fines for Failure to Report Major Shareholding
- 11 September 2023 – Norway FSA Fines for Short Selling
- 24 August 2023 – Spain CB Fines for Substantial Shareholding Reporting Failures
- 10 August 2023 – Germany BaFin Fines €600k for Substantial Shareholding Reporting Failures.
- 27 July 2023 – Austria FMA Fines for Substantial Shareholding Disclosure Failure
- 23 July 2023 – U.S. SEC Fines $1M for 13G Reporting Failure
- 14 July 2023 – S Korea FSC Fines for Illegal Short Selling
- 11 July 2023 – U.S. FINRA – Fines for Failure to Accurately Report Short Selling
- 30 June 2023 – Poland KNF Fines 5 for Multiple Substantial Shareholding Reporting Failures
- 22 June 2023 – Sweden FI Fines for Failure to Report Short Selling
- 12 June 2023 – U.S. SEC Fines for Naked Short Selling Scheme
- 26 May 2023 – Australia ASIC Fines for Failure to Report Major Shareholding
- 22 May 2023 – Australia ASIC Fines for Naked Short Selling
- 18 May 2023 – Kuwait CMA Fines for Failure to Notify Change of Ownership
- 16 May 2023 – Sweden FI Fines for Substantial Shareholding Reporting Failure
- 8 May 2023 – Norway FI Fines 6 for Illegal Short Selling
- 20 April 2023 – Germany BaFin Fines for Failure to Report Substantial Shareholding
- 17 April 2023 – India SEBI Fines for Failure to Report Substantial Shareholding
- 11 April 2023 – Italy CONSOB Fines for Failure to Report Substantial Shareholding
- 29 March 2023 – Netherlands Fines ~$1.5M for Failure to Report Substantial Shareholding
- 8 March 2023 – S Korea -FSC Fines ~$4M for Naked Short Selling
- 28 February 2023 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 17 February 2023 – U.S. SEC Fines for Short Selling
- 17 February 2023 – U.S. SEC Fines for Short Selling
- 10 January 2023 – India SEBI Fines for Late Substantial Shareholding Disclosure
- 28 December 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
Archives
- August 2025 (11)
- July 2025 (22)
- June 2025 (21)
- May 2025 (24)
- April 2025 (23)
- March 2025 (27)
- February 2025 (26)
- January 2025 (24)
- December 2024 (24)
- November 2024 (27)
- October 2024 (26)
- September 2024 (41)
- August 2024 (27)
- July 2024 (31)
- June 2024 (24)
- May 2024 (25)
- April 2024 (27)
- March 2024 (35)
- February 2024 (23)
- January 2024 (23)
- December 2023 (24)
- November 2023 (23)
- October 2023 (22)
- September 2023 (27)
- August 2023 (26)
- July 2023 (25)
- June 2023 (27)
- May 2023 (29)
- April 2023 (21)
- March 2023 (25)
- February 2023 (24)
- January 2023 (24)
- December 2022 (27)
- November 2022 (23)
- October 2022 (27)
- September 2022 (33)
- August 2022 (23)
- July 2022 (22)
- June 2022 (25)
- May 2022 (22)
- April 2022 (23)
- March 2022 (24)
- February 2022 (25)
- January 2022 (159)
- December 2021 (23)
- November 2021 (22)
- October 2021 (22)
- September 2021 (22)
- August 2021 (22)
- July 2021 (23)
- June 2021 (23)
- May 2021 (21)
- April 2021 (22)
- March 2021 (23)
- February 2021 (21)
- January 2021 (22)
- December 2020 (24)
- November 2020 (21)
- October 2020 (23)
- September 2020 (23)
- August 2020 (21)
- July 2020 (24)
- June 2020 (23)
- May 2020 (21)
- April 2020 (22)
- March 2020 (23)
- February 2020 (20)
- January 2020 (22)
- December 2019 (21)
- November 2019 (6)
- October 2019 (23)
- September 2019 (7)
- August 2019 (4)
- July 2019 (1)
- June 2019 (6)
- May 2019 (17)
- April 2019 (10)
- March 2019 (6)
- February 2019 (9)
- January 2019 (12)
- December 2018 (8)
- November 2018 (12)
- October 2018 (13)
- September 2018 (8)
- August 2018 (2)
- July 2018 (2)
- March 2018 (3)
- February 2018 (1)
- January 2018 (1)
- November 2017 (3)
- October 2017 (2)
- August 2017 (2)
- July 2017 (1)
- June 2017 (4)
- May 2017 (1)
- March 2017 (1)
- September 2016 (1)
- April 2016 (1)
- March 2016 (1)
- December 2015 (1)
- November 2015 (1)
- December 2014 (2)
- November 2014 (2)
- September 2014 (1)
- April 2014 (1)
- March 2014 (1)
- January 2014 (1)
- September 2013 (1)
- June 2013 (1)
- May 2013 (4)
- April 2013 (1)
- March 2013 (2)
- December 2012 (2)
- September 2008 (1)
- October 2007 (1)
- January 2007 (1)
- March 2006 (1)
- March 2002 (1)
_______
Contact Information
Headquarters
75 State Street, Suite 100
Boston, MA 02109
Main: +1.617.332.7752
email: info@solutions-atlantic.com
_______
Sales and Business Development
Customers
If you would like to schedule a demo or speak with one of our sales executives
please contact us at:
Phone: +1.203.722.3908
eMail: sales@solutions-atlantic.com
________
Partners
Solutions Atlantic partners with compliance consultancy firms, regulatory content providers and product distribution firms. If you would like to become a strategic partner of Solutions Atlantic, please contact us at:
Phone: +1.203.722.3908
eMail: alliances@solutions-atlantic.com
_______
Customer & Tech Support
For general assistance with billing and payments please contact us during the hours of 8:30am to 5:00pm
Phone: +1.617.332.7752
eMail: support@solutions-atlantic.com
Copyright © 2025 Solutions Atlantic | Powered by Solutions Atlantic