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14 March 2024 – U.S. SEC Fines for Naked Short Selling

March 14, 2024 by Anna Monteiro in links

U.S. SEC Fines for Naked Short Selling

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13 March 2024 – India SEBI Fines for Violation of Takeover Rule

March 13, 2024 by Anna Monteiro in links

India SEBI Fines for Violation of Takeover Rule

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12 March 2024 – Austria FMA Fines for Failure to Report Substantial Shareholdings

March 12, 2024 by Anna Monteiro in links

Austria FMA Fines for Failure to Report Substantial Shareholdings

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10 March 2024 – Turkey CMB Fines for Failure to Report Substantial Shareholding

March 10, 2024 by Anna Monteiro in links

Turkey CMB Fines for Failure to Report Substantial Shareholdings

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8 March 2024 – Turkey CMB Fines for Short Selling Violation

March 8, 2024 by Anna Monteiro in links

Turkey CMB Fines for Short Selling Violation

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7 March 2024 – Turkey Fines for Short Selling Violation

March 8, 2024 by Anna Monteiro in links

Turkey CMB Fines for Short Selling Failure

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Posts pagination

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RECENT ENFORCEMENT RELATED TO SHAREHOLDING DISCLOSURES

  • 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
  • 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
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