28 September 2020: Germany BaFin Fines for Late Voting Rights Reporting
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 19 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules
 - 17 September 2024 – U.S. SEC Failure to File Form 13F for Major Shareholding
 - 12 September 2024 – Hong Kong SFC Fines for Fraud through Illegal Short Selling
 - 9 September 2024 – Sweden FI Fines for Late Substantial Shareholding Reporting
 - 30 August 2024 – India SEBI Fines for Failure to Disclose Major Shareholding
 - 29 August 2024 – Germany BaFin Fines for Late Major Shareholding Reports
 - 20 August 2024 – Germany BaFin Fines for Failure to File Major Shareholding Reports
 - 15 August 2024 – Turkey CMB Fines for Short Selling Violations
 - 6 August 2024 – Austria FMA Fines for Late Reporting of Substantial Shareholding
 - 30 July 2024 – U.K. FCA Fines for Takeover Reporting Failure
 - 18 July 2024 – Poland KNF Fines for Failure to Report Major Shareholding
 - 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
 - 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
 - 16 July 2024 – Sweden FI Fines for Substantial Shareholding Reporting Failure
 - 10 July 2024 – Italy Consob Fines for Late Substantial Shareholding Report
 - 10 July 2024 – Italy Consob Fines for Failure to Comply with Substantial Shareholding Rules
 - 3 July 2024 – S Korea FSC Failure to Report Short Selling
 - 3 July 2024 – S Korea FSC Fines 2 for Breaches of Short Selling Regulations
 - 12 June 2024 – Norway FI Fines for Illegal Short Selling
 - 11 June 2024 – U.S. SEC Fines for Misleading Disclosures Related to Short Selling
 - 6 June 2024 – Japan FSA Fines for Late Substantial Shareholding Filing
 - 6 June 2024 – Greece HCMC Fines for Late Substantial Shareholding Report
 - 20 May 2024 – U.S. SEC Fines for Illegal Short Selling
 - 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
 - 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
 - 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
 - 19 April 2024 – India SEBI Fines for Failure to Report Substantial Shareholdings
 - 5 April 2024 – Luxembourg CSSF Fines for Failure to Report Sensitive Industries Shareholdings
 - 28 March 2024 – Australia ASIC Criminally Charges for Substantial Shareholding Violations
 - 28 March 2024 – Sweden FI Fines for Naked Short Selling
 - 27 March 2024 – India SEBI Fines for Late Major Shareholding Reporting
 
