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12 June 2023 – U.S. SEC Fines for Naked Short Selling Scheme

June 12, 2023 by Anna Monteiro in links

U.S. SEC Fines for Naked Short Selling Scheme

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26 May 2023 – Australia ASIC Fines for Failure to Report Major Shareholding

May 26, 2023 by Anna Monteiro in links

Australia ASIC Fines for Failure to Report Major Shareholding

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22 May 2023 – Australia ASIC Fines for Naked Short Selling

May 22, 2023 by Anna Monteiro in links

Australia ASIC Fines for Naked Short Selling

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18 May 2023 – Kuwait CMA Fines for Failure to Notify Change of Ownership

May 18, 2023 by Anna Monteiro in links

Kuwait CMA Fines for Failure to Notify Change of Ownership

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16 May 2023 – Sweden FI Fines for Substantial Shareholding Reporting Failure

May 16, 2023 by Anna Monteiro in links

Sweden FI Fines for Substantial Shareholding Reporting Failure/a>

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8 May 2023 – Norway FI Fines 6 for Illegal Short Selling

May 8, 2023 by Anna Monteiro in links

Norway FI Fines 6 Companies for 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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