UAE FSA Fines for Failure to Notify Change of Shareholding/Control
RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 22 May 2023 – Australia ASIC Fines for Naked Short Selling
- 18 May 2023 – Kuwait CMA Fines for Failure to Notify Change of Ownership
- 16 May 2023 – Sweden FI Fines for Substantial Shareholding Reporting Failure
- 8 May 2023 – Norway FI Fines 6 for Illegal Short Selling
- 20 April 2023 – Germany BaFin Fines for Failure to Report Substantial Shareholding
- 17 April 2023 – India SEBI Fines for Failure to Report Substantial Shareholding
- 11 April 2023 – Italy CONSOB Fines for Failure to Report Substantial Shareholding
- 29 March 2023 – Netherlands Fines ~$1.5M for Failure to Report Substantial Shareholding
- 8 March 2023 – S Korea -FSC Fines ~$4M for Naked Short Selling
- 28 February 2023 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 17 February 2023 – U.S. SEC Fines for Short Selling
- 17 February 2023 – U.S. SEC Fines for Short Selling
- 10 January 2023 – India SEBI Fines for Late Substantial Shareholding Disclosure
- 28 December 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
- 21 December 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 16 December 2022 – Sweden FSA Fines for Late Substantial Shareholding Disclosure
- 2 December 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding
- 30 November 2022 – India SEBI Fines for Failure to Disclose Substantial Shareholding and Takeover Breach
- 23 November 2022 – Finland FSA Fines for Late Short Selling Reporting
- 7 November 2022 – Germany BaFin Fines for Late Substantial Shareholding Disclosure
- 31 October 2022 – Germany BaFin Fines Union Service-Gesellschaft mbH for Late Substantial Shareholding
- 28 October 2022 – India SEBI Fines for Takeover Reporting Failures
- 12 October 2022 – Hong Kong SFC Fines for Short Selling Disclosure Failures
- 6 October 2022 – U.S. FINRA Fines for Inaccurate Short Selling Disclosures
- 3 October 2022 – U.S. FINRA Fines For Violations of Naked Short Selling
- 18 August 2022 – U.S. FINRA Censures and Fines for Short Selling
- 18 August 2022 – Hong Kong SFC Fines for Illegal Short Selling
- 12 August 2022 – US SEC Fines for Naked Short Selling
- 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