The recent dramatic spike in the number and complexity of regulatory reporting guidelines, has left buy-side firms and administration companies worldwide scrambling to keep up with changes in order to minimize risk and avoid costly filing errors. Recent independent surveys show that one of the main challenges buy-side participants face today is adapting to new…
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 12 May 2020: Sweden FI Fines for Failure to Report Falling Below Short Selling Threshold
- 11 May 2020: Sweden FI Fines for Late Short Selling Reporting
- 23 April 2020: Sweden FI Fines Armistice Capital for Late Substantial Shareholding Disclosure
- 21 April 2020: Sweden FI Fines for Late Short Selling Reporting
- 21 April 2020: Germany BaFin Fines Blackrock for Late Disclosure
- 20 April 2020: Sweden FI Fines for Late Short Selling Reporting
- 20 April 2020: Sweden FI Fines for Late Shares Transactions Reporting
- 20 April 2020: Sweden FI Fines Investors for Late Substantial Shareholding Disclosure
- 17 April 2020: Sweden Fines for Late Short Selling Reporting
- 8 April 2020: BaFin Fines #1 Investment Management Firm for Late Major Shareholding Disclosure
- 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
- 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
- 2 April 2020: Sweden FI Fines for Late Reporting of Subscription Rights
- 2 April 2020: Sweden FI Fines for Late and Incorrect Transactions Notification
- 31 March 2020: HK SFC Fine China Rise Short Selling
- 31 March 2020: Sweden FI Fines Tiger Global for Late Short Selling Report
- 25 March 2020: HK SFC Magic Holdings Late Disclosure
- 13 March 2020: Sweden FI Fines SEB Investment for Late Reporting of Transactions with Shares
- 13 March 2020: Sweden FI Fines SEB Investment for Late Shareholding Disclosure
- 13 March 2020: Sweden FI Fines Brushamn Invest for Late and Incorrect Transactions Reporting
- 11 March 2020: Sweden FI Fines Nordic Health Consultants for Late and Incorrect Transactions Reporting
- 10 March 2020: Sweden FI Fines For Late Transactions Reporting
- 9 March 2020: Sweden FI Fines For Late and Incorrect Notification of Transactions
- 9 March 2020: Sweden FI Fines Nordea for Late Shareholding Disclosure
- 6 March 2020: Sweden FI Fines for Incorrect Notification
- 6 March 2020: Sweden FI Fines for Errors in Transaction Reporting
- 5 March 2020: Sweden FI Fines for Late Shareholding Dislosure
- 4 March 2020: Sweden FI Fines for Errors in Shares Acquistion Notification
- 4 March 2020: Sweden FI Fines for Errors in Holdings Disclosure
- 17 February 2020: Sweden FI Fines Insurance Co for Late Reporting of Bonds
- 13 February 2020: Australia ASIC Fines for Misleading Shareholding Disclosure