U.S. SEC Fines 23 for Late Major Shareholding Reports - 13D, 13G
Written by Anna Monteiro
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Archives
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 22 February 2021: Hong Kong SFC Fines $3.15M for Inaccurate Short Sale Disclosures
- 11 February 2021: Sweden FI Fines for Late Shareholding Disclosure
- 10 February 2021: Sweden Court Annuls Fines for Late Shareholding Disclosure
- 27 January 2021: Germany BaFin Fines for Late Voting Rights Disclosure
- 27 January 2021: Sweden FI Fines 500,000SEK for Late Shareholding Disclosure
- 27 January 2021: Sweden FI Fines 60,000SEK for Late Short Selling Disclosure
- 15 January 2021: Sweden FI Fines Brax Investments 2.4M SEK Late Shareholding Disclosures
- 23 December 2020: Hong Kong SFC Fines $3.6M for Short Selling Reporting Failures
- 22 December 2020: Germany BaFin Fines for Late Shareholding Reporting
- 17 December 2020: Sweden FI Fines for Late Transaction Reporting of Shares
- 10 December 2020: Sweden FI Fines SEK 1M for Late Shareholding Disclosure Report
- 8 December 2020: Sweden FI Fines for Late Transaction Reporting
- 1 December 2020: Brazil CVM Fines for Failure to Disclose Stock Sale
- 25 November 2020: Sweden FI Fines for Late Shareholding Disclosure
- 11 November 2020: Germany BaFin Fines for Late Reporting Shareholding
- 4 November 2020: Sweden FI Fines for Late Reporting Shareholding
- 27 October 2020: Sweden FI Fines for Late Shareholding Disclosure
- 19 October 2020: Sweden FI Fines for Late Short Selling Reporting
- 16 October 2020: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 15 October 2020: Hong Kong SFC Censures for Breach of Takeovers Code
- 15 October 2020: Sweden FI Fines for Late Takeover Disclosure
- 14 October 2020: U.K. FCA Fines for Failure to Make Short Selling Disclosures
- 12 October 2020: Germany BaFin Fines for Late Shareholding Disclosure Reporting
- 8 October 2020: Sweden FI Fines for Late Shareholding Disclosure Reporting
- 7 October 2020: Sweden FI Fines for Late Short Selling Reporting
- 7 October 2020: Germany BaFin Fines for Late Shareholding Disclosure Reporting
- 6 October 2020: Sweden FI Fines for Late Short Selling Reporting
- 5 October 2020: Sweden FI Fines for Late Short Selling Reporting
- 30 September 2020: Sweden FI Fines for Inaccuracies in Share Reporting
- 28 September 2020: Germany BaFin Fines for Late Voting Rights Reporting
- 28 September 2020: Sweden FI Fines for Late and Inaccurate Shareholding Disclosure Reporting
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