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25 September 2024 – U.S. SEC Fines 23 for Late Major Shareholding and Insider Transaction Reports

September 25, 2024 by Anna Monteiro in links

U.S. SEC Fines 23 for Late Major Shareholding Reports – 13D, 13G

Tags: 13D, 13G, major shareholding

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 11 August 2022 – Poland FSA Fines for Substantial Shareholding Disclosure Failures
  • 9 August 2022 – Poland FSA Fines $1M for Failure to Report Substantial Shareholdings
  • 2 August 2022 – Germany BaFin Fines $5M for Substantial Shareholding Failure
  • 22 July 2022 – Iceland FSA Fines for Substantial Shareholding Disclosure Failure
  • 27 July 2022 – India SEBI Fines for Takeover Reporting Failure
  • 18 July 2022 – India SEBI Fines for Takeover Reporting Failure
  • 14 July 2022 – India SEBI Fines for Substantial Shareholding Disclosure
  • 12 July 2022 – France AMF Fines $1.3M for Takeover Reporting Failure
  • 6 September 2022 – U.S. SEC Fines for Failure to Report Schedule 13D
  • 21 June 2022 – France AMF Fines for Major Shareholding Reporting Failure
  • 20 June 2002: Germany BaFin Fines for Voting Rights Breach
  • 14 June 2022: U.S. – SEC Fines for Short Selling Violations
  • 29 March 2022: Sweden FI Fines Voleon Capital for Late Short Selling Disclosure
  • 23 March 2022: Sweden FI Fines Lazard for Late Substantial Shareholding Disclosure
  • 26 January 2022: Sweden FSA Fines Armistice Capital for Late Major Shareholding Disclosure
  • 1 December 2021: Norway FSA Fines CPPIB for Late Short Selling Report
  • 22 November 2021: Germany BaFin Fines Major Fund Company for Late Substantial Shareholding
  • 4 November 2021: Austria FMA Sanctions for Late Substantial Shareholding Disclosure
  • 28 October 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
  • 27 September 2021: Sweden – FI Fines Natural Person for Late Substantial Shareholding Disclosure
  • 16 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
  • 8 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
  • 1 September 2021: Sweden – FI Fines for Late Short Selling Disclosure
  • 31 August 2021: U.S. – ICE FUS Fine Aspire for Position Limits
  • 26 August 2021: India – SEBI Fines for Late Substantial Shareholding Disclosure
  • 23 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
  • 17 August 2021: U.S. SEC Fines for Short Selling Violation
  • 11 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
  • 9 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
  • 16 July 2021: Austria FMA Fines for Late Shareholding Disclosure Reporting
  • 8 July 2021: Sweden FI Fines Nasdaq Nordic for Takeover Breach
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