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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES
- 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
- 22 June 2023 – Sweden FI Fines for Failure to Report Short Selling
- 12 June 2023 – U.S. SEC Fines for Naked Short Selling Scheme
- 26 May 2023 – Australia ASIC Fines for Failure to Report Major Shareholding
- 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
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