On 30 December 2021, HK SFC fined company, director HKD 20k for offenses. HK SFC stated Wai Chun Holdings Group Ltd and director convicted of disclosure of interests offenses following guilty pleas relating to failure to make timely disclosures. Offenses concern acquisition of interests in Chinese Strategic on five occasions in 2017, which is contravention…
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Yearly Archives: 2022
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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 17 June 2020: Sweden FI Fines for Late Transaction Reporting
- 17 June 2020: Sweden FI Fines for Late Substantial Shareholding Disclsoure
- 12 June 2020: Sweden FI Fines for Incorrect Disclsoure
- 11 June 2020: Sweden FI Fines Mackay Shields for Late Short Selling Reporting
- 11 June 2020: Hong Kong SFC Breach of Takeovers Code
- 10 June 2020: Sweden FI Fines for Late Short Selling Reporting
- 9 June 2020: Germany BaFin Orders Filings for Major Shareholding Disclosures
- 8 June 2020: Sweden FI Fines Cambridge Global for Late Major Shareholding Disclosures
- 4 June 2020: Nasdaq Nordic Fines Hitech for Takeover Rules
- 3 June 2020: Sweden FI Fines for Failure to Disclose
- 3 June 2020: Belgium FSMA Late Reported Transactions
- 1 June 2020: Sweden FI Fines SEK2.4m for Late Shares Transparency
- 1 June 2020: Sweden FI Fines SEK2.4m for Late Transparency Reporting
- 1 June 2020: Sweden FI for Late Shares Transaction Reporting
- 1 June 2020: Sweden FI fined Neongelb Invest for Late Substantial Shareholding Disclosure
- 28 May 2020: Sweden FI for Late Transaction Reporting
- 13 May 2020: Sweden FI Fines Cheyne Capital for Late Short Selling Reporting
- 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