10 August 2023 – Germany BaFin Fines €600k for Substantial Shareholding Reporting Failures.
Germany BaFin Fines €600K for Substantial Shareholding Disclosure
27 July 2023 – Austria FMA Fines for Substantial Shareholding Disclosure Failure
Austria FMA Fines for Substantial Shareholding Disclosure Failure
23 July 2023 – U.S. SEC Fines $1M for 13G Reporting Failure
23 July 2023: U.S. SEC Fines $1M for Failure to File 13G
14 July 2023 – S Korea FSC Fines for Illegal Short Selling
S Korea FSC Fines for Illegal Short Selling
11 July 2023 – U.S. FINRA – Fines for Failure to Accurately Report Short Selling
FINRA Fines for Short Selling Reporting Failure
30 June 2023 – Poland KNF Fines 5 for Multiple Substantial Shareholding Reporting Failures
Poland KNF Fines for Substantial Shareholding Disclosure Failures