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18 June 2020: Hong Kong SFC CICC Takeovers Code Breach

January 25, 2022 by admin in links

18 June 2020: Hong Kong SFC CICC Takeovers Code Breach

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 28 June 2021: Sweden FI Fines for Late Short Selling Reporting in 10 Issuers
  • 28 June 2021: Sweden FI Fines for Late Short Selling Reporting
  • 17 June 2021: France AMF Fines for Late Takeover Reporting
  • 10 June 2021: Germany BaFin Fines for Late Shareholding Disclosure Reporting
  • 9 June 2021: Sweden’s FI fines Spectric Intelligence for Late Shareholding Disclosure Reporting
  • 8 June 2021: Sweden’s FI fines for Late Shareholding Disclosure Reporting
  • 25 May 2021: Germany BaFin Fines for Voting Rights Reporting Failure
  • 14 May 2021: Sweden FI Fines for Late Short Selling Reporting
  • 23 April 2021: Sweden FI Fines for Late Short Selling Reporting
  • 15 April 2021: Sweden FI Fines for Failure to Report Warrants
  • 15 April 2021: Croatia HANFA Fines for Failure to Report Takeover Bid
  • 15 April 2021: Hong Kong SFC Fines for Failure to Report Short Selling
  • 1 April 2021: Turkey CMB Fines Several Prominent Institutions for Unlawful Short Selling
  • 16 March 2021: Sweden FI Fines for Late Shareholding Disclosure
  • 15 March 2021: Sweden FI Fines for Late Shareholding Disclosure
  • 11 March 2021: Sweden FI Fines for Inaccurate Shareholding Disclosure
  • 24 February 2021: South Korea FSC Fines 6 Firms for Naked Short Selling
  • 22 February 2021: Hong Kong SFC Fines $3.15M for Inaccurate Short Sale Disclosures
  • 11 February 2021: Sweden FI Fines for Late Shareholding Disclosure
  • 10 February 2021: Sweden Court Annuls Fines for Late Shareholding Disclosure
  • 27 January 2021: Germany BaFin Fines for Late Voting Rights Disclosure
  • 27 January 2021: Sweden FI Fines 500,000SEK for Late Shareholding Disclosure
  • 27 January 2021: Sweden FI Fines 60,000SEK for Late Short Selling Disclosure
  • 15 January 2021: Sweden FI Fines Brax Investments 2.4M SEK Late Shareholding Disclosures
  • 23 December 2020: Hong Kong SFC Fines $3.6M for Short Selling Reporting Failures
  • 22 December 2020: Germany BaFin Fines for Late Shareholding Reporting
  • 17 December 2020: Sweden FI Fines for Late Transaction Reporting of Shares
  • 10 December 2020: Sweden FI Fines SEK 1M for Late Shareholding Disclosure Report
  • 8 December 2020: Sweden FI Fines for Late Transaction Reporting
  • 1 December 2020: Brazil CVM Fines for Failure to Disclose Stock Sale
  • 25 November 2020: Sweden FI Fines for Late Shareholding Disclosure
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