28 June 2021: Sweden FI Fines for Late Short Selling Reporting in 10 Issuers
Archives
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 28 January 2020: Sweden FI Fines for Late Transaction Reporting with Warrants
- 28 January 2020: Sweden FI Fines for Late Substantial Shareholding Disclosure
- 24 January 2020: Sweden FI Fines Natural Person for Late Transactions Report
- 23 January 2020: Sweden FI Fines for Incorrect Reporting
- 17 January 2020: Singapore MAS Fines for Substantial Shareholding
- 14 January 2020: Sweden FI Insider of Tobin Properties for Late Holdings Reportinge
- 14 January 2020: Sweden FI Fines SEK2.6m for Late Shareholding Disclosure
- 14 January 2020: Sweden FI Fines for Late Notification
- 13 January 2020: NYMEX Fine GMO in Position Limit Violation
- 10 January 2020: Sweden FI Fines TTC Invest For Late Shareholding Disclosure
- 10 January 2020: Sweden FI Fines Insider for Late Notification
- 12 August 2019: Germany BaFin Fines Goldman €800k for Voting Rights.
- 18 June 2019: SEC Wedbush Mishandling ADRs
- 31 January 2019: U.S. MYMEX Fines Credit Suisse for Position Limit Breach
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