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24 March 2025 – Sweden Fines for Violations of Short Selling Rules

March 24, 2025 by Anna Monteiro in links

Sweden Fines for Violations of Short Selling Rules

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20 March 2025 – China Fines for Failure to Obey Lock-in Period Re: Substantial Shareholding

March 20, 2025 by Anna Monteiro in links

China Fines for Failure to Obey Substantial Shareholding Lock-in Period

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18 March 2025 – Sweden Fines for Failure to Comply with Short Selling Rules

March 18, 2025 by Anna Monteiro in links

Sweden Fines for Failure to Comply with Uncovered Short Selling Rules

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11 March 2025 – India SEBI Fines 6 for Substantial Shareholding Reporting Failures

March 11, 2025 by Anna Monteiro in links

SEBI Fines Substantial Shareholding Reporting Failures

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20 February 2025 – Poland Fines for Substantial Shareholding Reporting Failures

February 24, 2025 by Anna Monteiro in links, News

Poland KNF Fines for Late Substantial Shareholding Reporting

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17 February 2025 – Sweden FI Fines For Late Short Selling Reporting

February 17, 2025 by Anna Monteiro in links

FI Fines for Late Short Selling Reporting

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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 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
  • 22 July 2022 – Iceland FSA Fines for Substantial Shareholding Disclosure Failure
  • 27 July 2022 – India SEBI Fines for Takeover Reporting Failure
  • 18 July 2022 – India SEBI Fines for Takeover Reporting Failure
  • 14 July 2022 – India SEBI Fines for Substantial Shareholding Disclosure
  • 12 July 2022 – France AMF Fines $1.3M for Takeover Reporting Failure
  • 6 September 2022 – U.S. SEC Fines for Failure to Report Schedule 13D
  • 21 June 2022 – France AMF Fines for Major Shareholding Reporting Failure
  • 20 June 2002: Germany BaFin Fines for Voting Rights Breach
  • 14 June 2022: U.S. – SEC Fines for Short Selling Violations
  • 29 March 2022: Sweden FI Fines Voleon Capital for Late Short Selling Disclosure
  • 23 March 2022: Sweden FI Fines Lazard for Late Substantial Shareholding Disclosure
  • 26 January 2022: Sweden FSA Fines Armistice Capital for Late Major Shareholding Disclosure
  • 1 December 2021: Norway FSA Fines CPPIB for Late Short Selling Report
  • 22 November 2021: Germany BaFin Fines Major Fund Company for Late Substantial Shareholding
  • 4 November 2021: Austria FMA Sanctions for Late Substantial Shareholding Disclosure
  • 28 October 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
  • 27 September 2021: Sweden – FI Fines Natural Person for Late Substantial Shareholding Disclosure
  • 16 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
  • 8 September 2021: Sweden – FI Fines for Late Substantial Shareholding Disclosure
  • 1 September 2021: Sweden – FI Fines for Late Short Selling Disclosure
  • 31 August 2021: U.S. – ICE FUS Fine Aspire for Position Limits
  • 26 August 2021: India – SEBI Fines for Late Substantial Shareholding Disclosure
  • 23 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
  • 17 August 2021: U.S. SEC Fines for Short Selling Violation
  • 11 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
  • 9 August 2021: Sweden FI Fines for Late Shareholding Disclosure Reporting
  • 16 July 2021: Austria FMA Fines for Late Shareholding Disclosure Reporting
  • 8 July 2021: Sweden FI Fines Nasdaq Nordic for Takeover Breach
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