Netherlands Fines Arrowstreet for Short Selling Reporting Failures
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 22 July 2022 – Iceland FSA Fines for Substantial Shareholding Disclosure Failure
- 27 July 2022 – India SEBI Fines for Takeover Reporting Failure
- 18 July 2022 – India SEBI Fines for Takeover Reporting Failure
- 14 July 2022 – India SEBI Fines for Substantial Shareholding Disclosure
- 12 July 2022 – France AMF Fines $1.3M for Takeover Reporting Failure
- 6 September 2022 – U.S. SEC Fines for Failure to Report Schedule 13D
- 21 June 2022 – France AMF Fines for Major Shareholding Reporting Failure
- 20 June 2002: Germany BaFin Fines for Voting Rights Breach
- 14 June 2022: U.S. – SEC Fines for Short Selling Violations
- 29 March 2022: Sweden FI Fines Voleon Capital for Late Short Selling Disclosure
- 23 March 2022: Sweden FI Fines Lazard for Late Substantial Shareholding Disclosure
- 26 January 2022: Sweden FSA Fines Armistice Capital for Late Major Shareholding Disclosure
- 1 December 2021: Norway FSA Fines CPPIB for Late Short Selling Report
- 22 November 2021: Germany BaFin Fines Major Fund Company for Late Substantial Shareholding
- 4 November 2021: Austria FMA Sanctions for Late Substantial Shareholding Disclosure
- 28 October 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 27 September 2021: Sweden – FI Fines Natural Person for Late Substantial Shareholding Disclosure
- 16 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 8 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
- 1 September 2021: Sweden – FI Fines for Late Short Selling Disclosure
- 31 August 2021: U.S. – ICE FUS Fine Aspire for Position Limits
- 26 August 2021: India – SEBI Fines for Late Substantial Shareholding Disclosure
- 23 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 17 August 2021: U.S. SEC Fines for Short Selling Violation
- 11 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 9 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 16 July 2021: Austria FMA Fines for Late Shareholding Disclosure Reporting
- 8 July 2021: Sweden FI Fines Nasdaq Nordic for Takeover Breach
- 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