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23 September 2024 – Turkey CMB Fines for Breach of Short Selling Ban

September 23, 2024 by Anna Monteiro in links

Turkey CMB Fines 13 Entities for Breach of Short Selling Ban

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23 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules

September 23, 2024 by Anna Monteiro in links

U.S. Fines for Breach of Short Selling Rules

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20 September 2024 – U.S. SEC Seeks to Fine Musk for Failure to Report Major Shareholding

September 20, 2024 by Anna Monteiro in links

U.S. Seeks to Fine Elon Musk for Failure to Report Major Shareholding

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19 September 2024 – U.S. SEC Fines for Breach of Short Selling Rules

September 19, 2024 by Anna Monteiro in links

U.S. Fines for Breach of Short Selling Rules

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17 September 2024 – U.S. SEC Failure to File Form 13F for Major Shareholding

September 17, 2024 by Anna Monteiro in links

U.S. Failure to File Form 13F for Major Shareholding

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12 September 2024 – Hong Kong SFC Fines for Fraud through Illegal Short Selling

September 12, 2024 by Anna Monteiro in links

Hong Kong Fines for Fraud through Illegal Short Selling

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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 17 June 2020: Sweden FI Fines for Late Transaction Reporting
  • 17 June 2020: Sweden FI Fines for Late Substantial Shareholding Disclsoure
  • 12 June 2020: Sweden FI Fines for Incorrect Disclsoure
  • 11 June 2020: Sweden FI Fines Mackay Shields for Late Short Selling Reporting
  • 11 June 2020: Hong Kong SFC Breach of Takeovers Code
  • 10 June 2020: Sweden FI Fines for Late Short Selling Reporting
  • 9 June 2020: Germany BaFin Orders Filings for Major Shareholding Disclosures
  • 8 June 2020: Sweden FI Fines Cambridge Global for Late Major Shareholding Disclosures
  • 4 June 2020: Nasdaq Nordic Fines Hitech for Takeover Rules
  • 3 June 2020: Sweden FI Fines for Failure to Disclose
  • 3 June 2020: Belgium FSMA Late Reported Transactions
  • 1 June 2020: Sweden FI Fines SEK2.4m for Late Shares Transparency
  • 1 June 2020: Sweden FI Fines SEK2.4m for Late Transparency Reporting
  • 1 June 2020: Sweden FI for Late Shares Transaction Reporting
  • 1 June 2020: Sweden FI fined Neongelb Invest for Late Substantial Shareholding Disclosure
  • 28 May 2020: Sweden FI for Late Transaction Reporting
  • 13 May 2020: Sweden FI Fines Cheyne Capital for Late Short Selling Reporting
  • 12 May 2020: Sweden FI Fines for Failure to Report Falling Below Short Selling Threshold
  • 11 May 2020: Sweden FI Fines for Late Short Selling Reporting
  • 23 April 2020: Sweden FI Fines Armistice Capital for Late Substantial Shareholding Disclosure
  • 21 April 2020: Sweden FI Fines for Late Short Selling Reporting
  • 21 April 2020: Germany BaFin Fines Blackrock for Late Disclosure
  • 20 April 2020: Sweden FI Fines for Late Short Selling Reporting
  • 20 April 2020: Sweden FI Fines for Late Shares Transactions Reporting
  • 20 April 2020: Sweden FI Fines Investors for Late Substantial Shareholding Disclosure
  • 17 April 2020: Sweden Fines for Late Short Selling Reporting
  • 8 April 2020: BaFin Fines #1 Investment Management Firm for Late Major Shareholding Disclosure
  • 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
  • 7 April 2020: Sweden FI Fines for Late Shareholding Disclosure
  • 2 April 2020: Sweden FI Fines for Late Reporting of Subscription Rights
  • 2 April 2020: Sweden FI Fines for Late and Incorrect Transactions Notification
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