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17 August 2021: U.S. SEC Fines for Short Selling Violation

January 25, 2022 by admin in links

17 August 2021: U.S. SEC Fines for Short Selling Violation

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 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
  • 9 September 2024 – Sweden FI Fines for Late Substantial Shareholding Reporting
  • 30 August 2024 – India SEBI Fines for Failure to Disclose Major Shareholding
  • 29 August 2024 – Germany BaFin Fines for Late Major Shareholding Reports
  • 20 August 2024 – Germany BaFin Fines for Failure to File Major Shareholding Reports
  • 15 August 2024 – Turkey CMB Fines for Short Selling Violations
  • 6 August 2024 – Austria FMA Fines for Late Reporting of Substantial Shareholding
  • 30 July 2024 – U.K. FCA Fines for Takeover Reporting Failure
  • 18 July 2024 – Poland KNF Fines for Failure to Report Major Shareholding
  • 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
  • 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
  • 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
  • 10 July 2024 – Italy Consob Fines for Late Substantial Shareholding Report
  • 10 July 2024 – Italy Consob Fines for Failure to Comply with Substantial Shareholding Rules
  • 3 July 2024 – S Korea FSC Failure to Report Short Selling
  • 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
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