Sweden Fines for Failure to Report Breach of Short Selling Threshold
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 13 March 2020: Sweden FI Fines SEB Investment for Late Reporting of Transactions with Shares
- 13 March 2020: Sweden FI Fines SEB Investment for Late Shareholding Disclosure
- 13 March 2020: Sweden FI Fines Brushamn Invest for Late and Incorrect Transactions Reporting
- 11 March 2020: Sweden FI Fines Nordic Health Consultants for Late and Incorrect Transactions Reporting
- 10 March 2020: Sweden FI Fines For Late Transactions Reporting
- 9 March 2020: Sweden FI Fines For Late and Incorrect Notification of Transactions
- 9 March 2020: Sweden FI Fines Nordea for Late Shareholding Disclosure
- 6 March 2020: Sweden FI Fines for Incorrect Notification
- 6 March 2020: Sweden FI Fines for Errors in Transaction Reporting
- 5 March 2020: Sweden FI Fines for Late Shareholding Dislosure
- 4 March 2020: Sweden FI Fines for Errors in Shares Acquistion Notification
- 4 March 2020: Sweden FI Fines for Errors in Holdings Disclosure
- 17 February 2020: Sweden FI Fines Insurance Co for Late Reporting of Bonds
- 13 February 2020: Australia ASIC Fines for Misleading Shareholding Disclosure
- 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