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6 September 2022 – U.S. SEC Fines for Failure to Report Schedule 13D

September 6, 2022 by Anna Monteiro in links

U.S. SEC Fines for Failure to Report Schedule 13D – Major Shareholding Disclosure

Tags: major shareholding, schedule 13D

RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 1 September 2025- New Zealand Regulator Fines for Sensitive Industries Reporting Failure
  • 22 August 2025 – Poland KNF Fines for Failure to Notify of Substantial Shareholding
  • 4 August 2025 – US SEC Issues Cease and Desist Order for Short Selling Failures
  • 1 August 2025 – Austria FMA Fines for Late Substantial Shareholding Reporting
  • 29 July 2025 – India SEBI Fines for Late Substantial Shareholding Reporting
  • 29 July 2025 – Chile Fines for Disregard of Substantial Shareholding Rules
  • 28 July 2025 – India SEBI Fines for Late Substantial Shareholding Reporting
  • 23 July 2025 – China CSRC Fines for Breach of Substantial Shareholding Rules
  • 17 July 2025 – Austria FMA Fines for Late Substantial Shareholding Notifications
  • 11 July 2025 – India SEBI Fines for Late Substantial Shareholding Reporting
  • 11 July 2025 – India SEBI Fines for Late Substantial Shareholding Reporting
  • 11 July 2025 – Pakistan SEC fines for Late Substantial Shareholding Reporting
  • 11 July 2025 – Pakistan SEC Issues Warning for Late Substantial Shareholding
  • 4 July 2025 – Pakistan Issues Warning for Late Substantial Shareholding Reporting
  • 13 June 2025 – Sweden Fines for Short Selling Reporting Failures
  • 13 June 2025 – Germany BaFin Fines for Late Substantial Shareholding Notifications
  • 10 June 2025 – France AMF Fines for Late Substantial Shareholding
  • 14 May 2025 – India SEBI Fines for Substantial Shareholding Reporting Failures
  • 14 May 2025 – ASIC Fines Breaches of Short Selling Regulations
  • 9 May 2025 – Poland Fines for Failure to Report Substantial Shareholding
  • 11 April 2025 – Denmark Fines for Late Substantial Shareholding Reporting
  • 1 April 2025 – Norway Fines for Breach of Short Selling Regulations
  • 27 March 2025 – Turkey Fines for Failure to Report Short Selling
  • 24 March 2025 – Sweden Fines for Violations of Short Selling Rules
  • 20 March 2025 – China Fines for Failure to Obey Lock-in Period Re: Substantial Shareholding
  • 18 March 2025 – Sweden Fines for Failure to Comply with Short Selling Rules
  • 11 March 2025 – India SEBI Fines 6 for Substantial Shareholding Reporting Failures
  • 20 February 2025 – Poland Fines for Substantial Shareholding Reporting Failures
  • 17 February 2025 – Sweden FI Fines For Late Short Selling Reporting
  • 14 February 2025 – S Korea Fines for Short Selling Breaches
  • 14 February – S Korea Fines for Short Selling Breaches
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