28 September 2020: Germany BaFin Fines for Late Voting Rights Reporting
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 22 March 2024 – Austria FMA Fines for Major Shareholding Reporting Failure
 - 21 March 2024 – India SEBI Fines for Major Shareholding Reporting Failure
 - 14 March 2024 – U.S. SEC Fines for Naked Short Selling
 - 13 March 2024 – India SEBI Fines for Violation of Takeover Rule
 - 12 March 2024 – Austria FMA Fines for Failure to Report Substantial Shareholdings
 - 10 March 2024 – Turkey CMB Fines for Failure to Report Substantial Shareholding
 - 8 March 2024 – Turkey CMB Fines for Short Selling Violation
 - 7 March 2024 – Turkey Fines for Short Selling Violation
 - 7 March 2024 – Turkey CMB Fines for Short Selling Failure
 - 4 March 2024 – Turkey CMB Fines for Substantial Shareholding Violation
 - 3 March 2024 – Turkey CMB Fines for Short Selling Violation
 - 1 March 2024 – U.S. SEC Fines for Major Shareholding Reporting Failure
 - 21 February 2024 – U.S. SEC Fines for Short Selling Violations
 - 27 December 2023 – France AMF Failure to Disclose Major Shareholding
 - 24 December 2023 – S Korea FSC Fines for Naked Short Selling
 - 21 December 2023 – Norway FSA Fines for Short Selling Violations
 - 7 November 2023 – Hong Kong SFC Issues Charges for Illegal Short Selling
 - 20 October 2023 – U.S. SEC Fines for Short Selling Violations
 - 27 September 2023 – U.S. SEC Fines Six for Major Shareholding Reporting Failures
 - 25 September 2023 – India SEBI Fines for Takeover Reporting Failure
 - 22 September 2023 – U.S. SEC Fines for Improper Short Selling
 - 15 September 2023 – China CSRC Fines for Major Shareholding Reporting Failures
 - 13 September 2023 – U.S. SEC Fines for Failure to Report Major Shareholding
 - 11 September 2023 – Norway FSA Fines for Short Selling
 - 24 August 2023 – Spain CB Fines for Substantial Shareholding Reporting Failures
 - 10 August 2023 – Germany BaFin Fines €600k for Substantial Shareholding Reporting Failures.
 - 27 July 2023 – Austria FMA Fines for Substantial Shareholding Disclosure Failure
 - 23 July 2023 – U.S. SEC Fines $1M for 13G Reporting Failure
 - 14 July 2023 – S Korea FSC Fines for Illegal Short Selling
 - 11 July 2023 – U.S. FINRA – Fines for Failure to Accurately Report Short Selling
 - 30 June 2023 – Poland KNF Fines 5 for Multiple Substantial Shareholding Reporting Failures
 
