22 February 2021: Hong Kong SFC Fines $3.15M for Inaccurate Short Sale Disclosures
22 February 2021: Hong Kong SFC Fines $3.15M for Inaccurate Short Sale Disclosures
Archives
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 14 May 2025 – India SEBI Fines for Substantial Shareholding Reporting Failures
- 14 May 2025 – ASIC Fines Breaches of Short Selling Regulations
- 9 May 2025 – Poland Fines for Failure to Report Substantial Shareholding
- 11 April 2025 – Denmark Fines for Late Substantial Shareholding Reporting
- 1 April 2025 – Norway Fines for Breach of Short Selling Regulations
- 27 March 2025 – Turkey Fines for Failure to Report Short Selling
- 24 March 2025 – Sweden Fines for Violations of Short Selling Rules
- 20 March 2025 – China Fines for Failure to Obey Lock-in Period Re: Substantial Shareholding
- 18 March 2025 – Sweden Fines for Failure to Comply with Short Selling Rules
- 11 March 2025 – India SEBI Fines 6 for Substantial Shareholding Reporting Failures
- 20 February 2025 – Poland Fines for Substantial Shareholding Reporting Failures
- 17 February 2025 – Sweden FI Fines For Late Short Selling Reporting
- 14 February 2025 – S Korea Fines for Short Selling Breaches
- 14 February – S Korea Fines for Short Selling Breaches
- 14 February 2025 – S Korea Fines for Breaches in Short Selling
- 14 February 2025 – S Korea Fines for Short Selling Breaches
- 23 January 2025 – India SEBI Fines for Failures in Substantial Shareholding Reporting
- 13 January 2025 – US Fines for Failure to Comply with Short Selling Rules
- 19 December 2024 – US Fines For Breach of Short Selling Rule
- 12 December 2024 – Turkey Fines for Breaches of Short Selling Regulations
- 10 December 2024 – S Korea Fines for Illegal Short Selling
- 20 November 2024 – Australia ASIC Fines for Failure to Disclose Major Shareholdings
- 26 November 2024 – U.S. SEC fines for Illegal Short Selling
- 18 November 2024 – Poland Fines for Substantial Shareholding Failures
- 18 November 2024 – India SEBI Fines 7 for Substantial Shareholding Failures
- 15 November 2024 – Hong Kong Fines for Takeover Breaches
- 6 November 2024 – Netherlands AFM Fines for Failure to Report Substantial Shareholdings
- 15 October – S Korea Fines for Illegal Short Selling
- 9 October 2024 – Italy Consob Fines for Breach of Short Selling Regulations
- 4 October 2024 – Italy Consob Fines for Short Selling Failure
- 29 September 2024 – Sweden FI Fines for Late Substantial Shareholding in Bonds
Archives
- August 2025 (11)
- July 2025 (22)
- June 2025 (21)
- May 2025 (24)
- April 2025 (23)
- March 2025 (27)
- February 2025 (26)
- January 2025 (24)
- December 2024 (24)
- November 2024 (27)
- October 2024 (26)
- September 2024 (41)
- August 2024 (27)
- July 2024 (31)
- June 2024 (24)
- May 2024 (25)
- April 2024 (27)
- March 2024 (35)
- February 2024 (23)
- January 2024 (23)
- December 2023 (24)
- November 2023 (23)
- October 2023 (22)
- September 2023 (27)
- August 2023 (26)
- July 2023 (25)
- June 2023 (27)
- May 2023 (29)
- April 2023 (21)
- March 2023 (25)
- February 2023 (24)
- January 2023 (24)
- December 2022 (27)
- November 2022 (23)
- October 2022 (27)
- September 2022 (33)
- August 2022 (23)
- July 2022 (22)
- June 2022 (25)
- May 2022 (22)
- April 2022 (23)
- March 2022 (24)
- February 2022 (25)
- January 2022 (159)
- December 2021 (23)
- November 2021 (22)
- October 2021 (22)
- September 2021 (22)
- August 2021 (22)
- July 2021 (23)
- June 2021 (23)
- May 2021 (21)
- April 2021 (22)
- March 2021 (23)
- February 2021 (21)
- January 2021 (22)
- December 2020 (24)
- November 2020 (21)
- October 2020 (23)
- September 2020 (23)
- August 2020 (21)
- July 2020 (24)
- June 2020 (23)
- May 2020 (21)
- April 2020 (22)
- March 2020 (23)
- February 2020 (20)
- January 2020 (22)
- December 2019 (21)
- November 2019 (6)
- October 2019 (23)
- September 2019 (7)
- August 2019 (4)
- July 2019 (1)
- June 2019 (6)
- May 2019 (17)
- April 2019 (10)
- March 2019 (6)
- February 2019 (9)
- January 2019 (12)
- December 2018 (8)
- November 2018 (12)
- October 2018 (13)
- September 2018 (8)
- August 2018 (2)
- July 2018 (2)
- March 2018 (3)
- February 2018 (1)
- January 2018 (1)
- November 2017 (3)
- October 2017 (2)
- August 2017 (2)
- July 2017 (1)
- June 2017 (4)
- May 2017 (1)
- March 2017 (1)
- September 2016 (1)
- April 2016 (1)
- March 2016 (1)
- December 2015 (1)
- November 2015 (1)
- December 2014 (2)
- November 2014 (2)
- September 2014 (1)
- April 2014 (1)
- March 2014 (1)
- January 2014 (1)
- September 2013 (1)
- June 2013 (1)
- May 2013 (4)
- April 2013 (1)
- March 2013 (2)
- December 2012 (2)
- September 2008 (1)
- October 2007 (1)
- January 2007 (1)
- March 2006 (1)
- March 2002 (1)