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21 April 2020: Germany BaFin Fines Blackrock for Late Disclosure

January 25, 2022 by admin in links

21 April 2020: Germany BaFin Fines Blackrock for Late Disclosure

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 22 June 2023 – Sweden FI Fines for Failure to Report Short Selling
  • 12 June 2023 – U.S. SEC Fines for Naked Short Selling Scheme
  • 26 May 2023 – Australia ASIC Fines for Failure to Report Major Shareholding
  • 22 May 2023 – Australia ASIC Fines for Naked Short Selling
  • 18 May 2023 – Kuwait CMA Fines for Failure to Notify Change of Ownership
  • 16 May 2023 – Sweden FI Fines for Substantial Shareholding Reporting Failure
  • 8 May 2023 – Norway FI Fines 6 for Illegal Short Selling
  • 20 April 2023 – Germany BaFin Fines for Failure to Report Substantial Shareholding
  • 17 April 2023 – India SEBI Fines for Failure to Report Substantial Shareholding
  • 11 April 2023 – Italy CONSOB Fines for Failure to Report Substantial Shareholding
  • 29 March 2023 – Netherlands Fines ~$1.5M for Failure to Report Substantial Shareholding
  • 8 March 2023 – S Korea -FSC Fines ~$4M for Naked Short Selling
  • 28 February 2023 – India SEBI Fines for Failure to Disclose Substantial Shareholding
  • 17 February 2023 – U.S. SEC Fines for Short Selling
  • 17 February 2023 – U.S. SEC Fines for Short Selling
  • 10 January 2023 – India SEBI Fines for Late Substantial Shareholding Disclosure
  • 28 December 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
  • 21 December 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding
  • 16 December 2022 – Sweden FSA Fines for Late Substantial Shareholding Disclosure
  • 2 December 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding
  • 30 November 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding and Takeover Breach
  • 23 November 2022 – Finland FSA Fines for Late Short Selling Reporting
  • 7 November 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
  • 31 October 2022 – Germany BaFin Fines Union Service-Gesellschaft mbH for Late Substantial Shareholding
  • 28 October 2022 – India SEBI Fines for Takeover Reporting Failures
  • 12 October 2022 – Hong Kong SFC Fines for Short Selling Disclosure Failures
  • 6 October 2022 – U.S. FINRA Fines for Inaccurate Short Selling Disclosures
  • 3 October 2022 – U.S. FINRA Fines For Violations of Naked Short Selling
  • 18 August 2022 – U.S. FINRA Censures and Fines for Short Selling
  • 18 August 2022 – Hong Kong SFC Fines for Illegal Short Selling
  • 12 August 2022 – US SEC Fines for Naked Short Selling
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